Our office provides legal services to the following:

Investment Houses:

• Writing procedures for Investment Houses in accordance with the requirements of the ISA.
• Revision and examination of the engagement agreement with the client.
• Advising employees licensed as Investment Advisors, Marketers and Portfolio Managers.
• Providing a legal opinion regarding Capital Market activity, Forex activity, derivative transactions, etc.
• Guiding Investment House's compliance officers.
• Supervising agreements between investment houses and external referring agents.
• Correspondence with professional organizations and with various authorities: ISA, TASE, etc.
• Advising in matters relating to the prohibition of money laundering, identifying customer and beneficiary, and reporting to the Money Laundering Prohibition Authority.
• Ongoing legal advice regarding the Investment House's activity, including the employment of licensed workers, non-licensed workers, and the Securities they are permitted to hold.

Individuals:

• Reviewing losses that occurred in a managed or advised portfolio.
• Checking for negligence in investment advising or in portfolio managing.
• Legal advice regarding the prospect of a lawsuit against a Bank or a Portfolio Manager.
• Legal council for those not licensed as Investment Advisors, Marketers or Portfolio Managers, regarding holding securities and managing five clients.
• Legal advice regarding applying for an Israeli license, based on a foreign license or foreign schooling, including correspondence with the ISA and applying for an exemption committee in matters of exam exemptions and internship exemptions.
• Appealing the ISA's decisions regarding:
• Licensing
• Exam exemptions
• Internship exemptions

For more information regarding legal advising call :

+972-3-613-1118