Documents Overview
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Disclosure Documents
Disclosure Documents - AFSL, Wholesale
Version
9.0 -
9 June 2023
Document | Version | Type | Date |
---|---|---|---|
FSG Checklist Template - AFSL | 3.0 | Tool | 30 March 2023 |
Fact Find Template - AFSL | 2.0 | Tool | 29 Jan. 2020 |
Financial Services Guide (FSG): Adviser Profile - AFSL | 3.0 | Tool | 17 Sept. 2021 |
Financial Services Guide (FSG): Authorised Representative (AR) and Corporate Authorised Representative (CAR) Version - AFSL | 5.0 | Tool | 17 Sept. 2021 |
Financial Services Guide (FSG): Licensee Version - AFSL | 5.0 | Tool | 17 Sept. 2021 |
Financial Services Guide (FSG): Provisional Adviser Profile - AFSL | 1.0 | Tool | 17 Sept. 2021 |
Financial Services Guide (FSG): Managed Discretionary Account - AFSL | 1.0 | Tool | 9 June 2023 |
First Interview Letter Template - AFSL | 2.0 | Tool | 8 Oct. 2020 |
ROA Template - AFSL | 3.0 | Tool | 7 Dec. 2022 |
Sample Disclaimers and Warnings - AFSL | 2.0 | Tool | 2 April 2020 |
Statement of Advice - AFSL | 1.0 | Tool | 24 March 2022 |
Statement of Advice (IBR) - AFSL | 1.0 | Tool | 7 Dec. 2022 |
Financial Product Advice - Key Requirements
Key Obligations - AFSL, Wholesale
Version
6.1 -
16 May 2023
Document | Version | Type | Date |
---|---|---|---|
Advice and Disclosure Documentation Policy - AFSL | 2.0 | Policy | 20 July 2022 |
Client File Management Policy - AFSL | 2.0 | Policy | 23 Sept. 2020 |
Client Files Adviser Policy - AFSL | 1.0 | Policy | 15 July 2020 |
Data Collection Policy - AFSL | 1.0 | Policy | 7 June 2019 |
Giving Financial Product Advice Policy - AFSL | 1.0 | Policy | 7 June 2019 |
No Advice -v- General Advice -v- Personal Advice Guide - AFSL | 1.0 | Guide | 3 June 2019 |
Advice Implementation Flowchart - AFSL | 1.0 | Tool | 26 June 2019 |
Disclosure Documents
Disclosure Documents - ACL
Version
1.0 -
16 May 2023
Document | Version | Type | Date |
---|---|---|---|
Credit Guide - Licensee - ACL | 1.0 | Tool | 21 April 2022 |
Credit Proposal Disclosure Document - ACL | 1.0 | Tool | 21 April 2022 |