Corporate Finance - Do I Need Permissions for Retail Clients?

Posted on: 6 March 2020

Written by: Gary Paulus

Information for CFAs

This factsheet has been produced to help Corporate Finance Advisors (CFAs) understand what is required when it comes to dealing with and providing investment services to retail clients. In addition a breakdown of the different types of clients that CFAs may come into contact with has been included to help improve understanding. 

Click here to access factsheet

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Gary Paulus

Gary is a Senior Consultant within our Capital Markets team and a core member of our Prudential practice.

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