KPMG EAM Crossborder Country Manual - Saint Lucia
This KPMG EAM Crossborder Country Manual delivers a clear, structured overview of the regulatory framework governing crossborder activities in this jurisdiction. It outlines the key legal and compliance requirements that EAM’s must observe when engaging with clients in this country.
Upon purchase, the manual is made available in PDF format and can be downloaded. A confirmation email is sent immediately, and the manual can also be accessed under “My Account” and “My Accesses”.
Standard Structure
Crossborder Country Manuals follow a consistent and user-friendly standard structure designed to support efficient navigation and practical application. It covers the following core areas:
- Introduction with general licensing requirements and applicable regulation
- Marketing and event principles
- General communication guidelines for prospective and existing clients
- Guidelines for specific services and product activities, including:
- Discretionary portfolio management services
- Investment advisory and financial researc
- Wealth advisory services
- Investment products and brokerage
- Online access services (e.g trading)
- Third-party cooperation guidelines
The country manual is available for 1 year. In the event that a new version is available within 12 months of purchase, the GFI can access this new version by logging into their account. VSV/ASG members benefit from a discount on KPMG country manuals. To do this, please use the link available in the Crossborder section of the VSV/ASG website.
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