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The financial service profession is regulated at the federal or state level, and professionals who sell products or provide financialadvice to clients for a fee are required to meet minimum required regulatory standards. . Professional Certifications for Financial Advisors. Investments and Wealth Management.
Regulatory Framework Governing Financial Advisors In many countries, the financial sector is governed by stringent regulations. These regulations dictate who is qualified to offer professional financialadvice, beyond merely sharing opinions on financial markets.
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