Investment Business Firm: Multi-Agency Intermediary (Deemed)
Name:
Sean J. O'Connor
Reference No:
C1861
Trading Name:
Connor Financial Services, Pinnacle Financial
Address:
(Principal Business Address)
15 Carriglea Walk
Firhouse
Dublin 24
D24VY53
Authorisation Date:
01 Oct 2014
Tied Agents :
An investment product intermediary is a restricted activity investment product intermediary for the purposes of this Act if the only investment business service that the intermediary provides, or in relation to which the intermediary provides investment advice, is one or more of:
(a)
receiving and transmitting orders or units of shares in undertakings for collective investment in transferable securities within the meaning of the Regulations of 1989, units in a unit trust, other collective investment scheme instruments, or shares in a company which are listed on a stock exchange or bonds so listed or prize bonds, tracker bonds, insurance policies or Personal Retirement Savings Accounts within the meaning of the Pensions Act, 1990;
(b)
acting as a deposit agent or deposit broker
Page last updated on:
18 Nov 2024