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INTERNAL USE ONLY Exec: Client Code: Authorised and regulated by the Financial Conduct Authority Member of the London Stock ExchangeDISCRETIONARY MANAGED ACCOUNT: PERSONAL REGISTRATION AND FACTFIND
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Obtain the execution-only certificated sales registration form from the authorized provider.
02
Fill in your personal details, including name, address, and contact information.
03
Provide identification details, such as your national ID number or passport number.
04
Specify the type of financial product or service you are applying for.
05
Indicate your investment experience and risk tolerance level.
06
Review all the information for accuracy.
07
Sign and date the form to confirm your understanding of the execution-only service.
08
Submit the completed form to the relevant authority or organization.

Who needs execution-only-certificated-sales-registration?

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Individuals looking to invest in financial products without advisory services.
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Experienced investors who understand the risks and implications of their decisions.
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People who prefer a hands-on approach to managing their investment portfolio.
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Execution-only certificated sales registration refers to a regulatory process that allows certain sales of securities to be executed without the need for a full advisory service. This process is typically streamlined to facilitate quicker transactions.
Individuals or entities that engage in execution-only sales of securities, typically brokers and financial advisors, are required to file execution-only certificated sales registration.
To fill out execution-only certificated sales registration, you need to provide detailed information about the securities being sold, the parties involved in the transaction, and any relevant disclosures. Specific forms and guidelines may vary by jurisdiction.
The purpose of execution-only certificated sales registration is to ensure transparency and regulatory compliance in the trading of securities, while allowing for a simplified process for transactions that do not involve comprehensive advisory services.
Information that must be reported includes details of the securities being sold, the parties involved, transaction amounts, dates of execution, and any relevant risk disclosures applicable to the sale.
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