CONTENIDO
- 1. Financial Investment Advisor | Definition
- - The difference between investment and advisory
- - General Investors and Professional Investors
- 2. Financial Investment Advisor | Contract settlement notice
- - Responsible and Responsible
- - Advisor’s Standards and Procedures
- - Careers and Qualifications of Counseling Providers
- - Investor Relations
- - Fees and maintenance structures
- - Contract period, change, termination conditions
- - Terms and Conditions for Overnight Stay
- 3. Financial Investment Advisor | How to respond to disputes
- - Fixed financial regulator
- - Korea Consumer Service Center
- - Adjustment through Korea Exchange and Financial Investment Association
- 4. Financial Investment Advisor | The importance of correspondence
1. Financial Investment Advisor | Definition
Finance Investors provide individual advice on customer specific financial products’ sales and sales, portfolio configurations, etc. News /span>
In this case, there may be unexpected disputes related to financial investments receiving various legal regulations. News /span>
The difference between investment and advisory
is one of the most common concepts of financial investor statements. News /span>
The statement is a structure that investors make final decisions, The term is a structure that is entirely responsible for asset handling, so it requires a clear understanding of the contract. News /span>
General Investors and Professional Investors
The law on the capital market and financial investment business is divided into general investor and professional investor based on the nature and investment experience of investors. News /span>
Professional investor means people or institutions with knowledge or experience related to financial products, more than a certain level of asset or risk reduction ability. News /span>
In the meantime, the investor who does not meet this requirement is all classified as a general investor, the protection device will be applied to more stubborn. News /span>
This distinguished segment is important to accurately understand the differences in the type of investor, because it is the standard to determine how much financial investor should be described and carefully. News /span>
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2. Financial Investment Advisor | Contract settlement notice
Before the contract is concluded, should be carefully checked. News /span>
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Responsible and Responsible
The first thing you need to check is that any financial product is provided, and the advice is done in any way. News /span>
If you don't understand this clearly, You may encounter differences between service and actual available services expected. News /span>
Advisor’s Standards and Procedures
You should explain in advance if you recommend or advise financial products based on any standard and procedures. News /span>
This procedure is important to determine whether the advice is based on objective and consistent principles. News /span>
Careers and Qualifications of Counseling Providers
is important as the name of the company, is the experience and expertise of employees responsible for real advice. News /span>
The Lawyers are obliged to inform the staff's name and the main career in writing. investors must confirm that it is. News /span>
Investor Relations
The investor's contract must be clearly followed by the investor's own, not responsible for the results of the advice. News /span>
You may encounter losses even if you follow the advice of the affiliate, The affiliate does not guarantee profit. News /span>
Fees and maintenance structures
The commission is one of the key elements of the investor statement contract. News /span>
If the fee or other cost is imposed, If the standard and cycles are clearly checked and the contents listed in the contract must be reviewed. News /span>
Contract period, change, termination conditions
is the period of validity of the contract, whether it is possible to terminate, and the procedure must be confirmed when the consultancy range changes. News /span>
The contract may have a penalty or condition to change, so it is important to premature contract terms. News /span>
Terms and Conditions for Overnight Stay
In case of contract, the documents that the advisors are required to be the same as the written data provided in advance; this is clearly defined in the Financial Consumer Protection Act. News /span>
If you are different from pre-guides and contracts, may legal responsibility. News /span>
Also Contract is: News /span>
Contract & Contract Terms & Contract Terms & Conditions<><> Contract & Contract Terms & Contract Terms & Conditions
3. Financial Investment Advisor | How to respond to disputes
is the right choice for investors. News /span>
When faced with this situation, is important to respond to inappropriate procedures and methods. News /span>
Fixed financial regulator
If a dispute related to financial investor, investors can apply for dispute resolution on the Financial Supervision Commission. News /span>
Previous procedures are: News /span>
▶ Financial Supervisor Adjustment Swift
Internet, W
2 Registration advice and investigation
Registration notices that the person receives the letter, and the financial supervisor is subject to the relevant organization’s data submission and attendance. 3 All recommendations and adjustment committee members
Finance Directors advise agreements to disputes, If the agreement is not made within 30 days, the event will be congratulated to the Financial Distribution Commission.
4 Presentation Committee Symptoms & Regulations Present
The Commission writes the adjustments within 60 days of and presents the adjustments to the parties and encourage acceptance.
5 constant acceptance and effect occur
When the investigator accepts the adjustment, the same effect as the trial harm, constant is written. ※ In the event that the applicant and the relevant party are not accepted in the adjustment field within 20 days of the date of presenting the above adjustments.
Korea Consumer Service Center
The Korean Consumer Service Center operates Consumer Competency Committee for dispute resolution between consumers and operators. News /span>
When financial investigative damage occurs, can apply for dispute resolution through the following procedure. News /span>
2 All rights reserved
3 Consumer Comprehensive Committee Meeting
Unless within 30 days of completion, the dispute is subject to the Consumer Comprehensive Committee, special event (medical, insurance, concentration, etc.) can be extended;
4 constant period and result notice
The committee must complete the adjustment within 30 days of Resistant time and time of extension.
constant results are notified to the parties, You need to reply whether accepted within 15 days.
If there is no return, it is considered automatic acceptance.
5 Effects of corrections
When a correction is accepted, the same legal effect will occur.
Adjustment through Korea Exchange and Financial Investment Association
The Korean Exchange performs self-activating tasks for trading related disputes within the exchange market, and supports dispute resolution between investors and members with the Financial Investment Association. News /span>
▶ Korea Exchange and Financial Investment Association Adjustment Details
Investors or Members are required to apply to the relevant exchanges and financial institutions;
2 consistence
Consultation Committee may not be denied by any person in the event of a party, Data submission request, Consultation survey, etc.
3 Combination and termination of the event
The committee may advise the agreement to the parties, or directly terminate the event.
4 Council meetings and adjustment decisions
Unless applicable, after application acceptance Within 30 days, the Commission will notify the parties to make adjustment decisions within 30 days.
4 The legal effect of the modifier
When the modifier accepts the modifier, it has the same legal effect as the contract for civil law.
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4. Financial Investment Advisor | The importance of correspondence
News /strong>
Finance market may occur several legal issues, such as sudden volatility and various legal and regulatory requirements.
is a professional legal support to prevent damage and legal sanctions and respond promptly. News /span>
This company provides a systematic and strategic financial investment advisory service with rich experience and expertise throughout the financial investment field. News /strong>
in particular, investor-owner, financial institutions, based on the practical experience of experts from the public sector, News /span>
When financial investor needs legal counseling, Drop
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