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(NOTES) 1 Regulatory business Application for Authorization Supplement for advisers and arrangers of wholesale funds notes Please take time to read these notes carefully. They will help you to fill

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What is wholesale adviser and arranger?

Wholesale adviser and arranger refers to individuals or entities that provide advice or services related to wholesale financial products, such as arranging or executing transactions.

Who is required to file wholesale adviser and arranger?

All individuals or entities who engage in the activities of wholesale adviser and arranger are required to file the necessary documents and comply with the regulatory requirements.

How to fill out wholesale adviser and arranger?

To fill out wholesale adviser and arranger, you need to provide relevant information about your activities, clients, financial products, and comply with the reporting format and guidelines provided by the regulatory body.

What is the purpose of wholesale adviser and arranger?

The purpose of wholesale adviser and arranger is to ensure transparency, accountability, and regulatory compliance in the trading and provision of wholesale financial products.

What information must be reported on wholesale adviser and arranger?

The information that must be reported on wholesale adviser and arranger includes details of transactions, clients, financial products, risk assessments, and any other relevant information as required by the regulatory body.

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