Win Finance Wealth Management Limited

Licence conditions (1)

• 2026-06-01 – 2027-11-30
  (1) Subject to condition (2) below, the Licensee shall not carry on, or hold itself out as carrying on, any of the following regulated activities where the insurance business is sourced through the acceptance of any referral from another person who is acting or holding out as acting in the course of that person’s business or employment or for reward: (a) negotiating or arranging any new contract of insurance; (b) inviting or inducing, or attempting to invite or induce, any person to enter into a new contract of insurance; (c) inviting or inducing, or attempting to invite or induce, any person to decide to submit an application or proposal for a new contract of insurance; or (d) giving regulated advice in relation to making an application or proposal for a new contract of insurance. (2) Condition (1) above shall not apply where, and only where, the relevant insurance business is sourced and referred directly and solely by a person acting in the capacity of the Licensee’s appointed technical representatives (broker) (“Appointed TR(B)s”). (3) The Licensee shall ensure, and shall procure that its Appointed TR(B)s ensure, due compliance with and observance of conditions (1) and (2) above. (4) The Licensee shall furnish to the Insurance Authority (“Authority”) such information or records in respect of the regulated activities carried on by the Licensee at such times or intervals as may be specified, and, if the Authority so requires, such information or records shall be verified in such manner as may be specified, in accordance with any written notice served by the Authority on the Licensee from time to time. (Effective Date: 1 June 2026)

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