• Home
  • Who We Are
  • Our Services
  • Compliance
  • AFSL
  • AML/CTF
  • KYC
  • Advocacy
  • News
  • Press
  • Contact Us
Menu

Ariel & Associates

Street Address
City, State, Zip
Phone Number
Business Compliance, Licensing & Governance Services

Your Custom Text Here

Ariel & Associates

  • Home
  • Who We Are
  • Our Services
  • Compliance
  • AFSL
  • AML/CTF
  • KYC
  • Advocacy
  • News
  • Press
  • Contact Us

Retail Client Status

January 10, 2017 Jeremy Danon

Interesting article concerning how retail clients may forego regulatory protections if they are instead classified as “wholesale” (ie, sophisticated or professional investor) by a financial services provider.

Source: http://www.smh.com.au/business/the-economy...
← Proposals to consolidate the ASIC Market Integrity RulesASX Market Outage →

info@ariel.associates
+61 2 8379 1263

Level 10, 65 York Street, Sydney NSW 2000
PO Box 2449, Bondi Junction NSW 1355

Ariel & Associates - Financial Services Compliance, Licensing & Governance Services Outsourcing

Compliance    AFSL    AML/CTF    KYC


Privacy Policy - Disclaimer - T&Cs