Disclosure Documents - AFSL, Wholesale

This bundle comprises various disclosure documents, including a fact find, providing a comprehensive template for compliance with KYC; a number of financial services guides, including adviser profile template and suggested content; a letter for client to confirm the first client interview; a statement of advice (including for IBR), a record of advice, including guidance on when an ROA can be used in preference to an SOA; and disclaimers and warnings to be used in the provision of advice.

This resource may assist financial advisers and Australian Financial Services Licence (AFSL) holders looking for practical financial advice disclosure templates and client documentation to support their advice process and regulatory compliance.