Financial Product Advice - Key Requirements
Key Obligations - AFSL, Wholesale
Version 6.2 -
Last updated: 19 Sept. 2024
This bundle is designed to assist licensees by providing detailed information on what advisers need to consider when providing general advice, personal advice, or 'execution only' services. It extends to disclosure documents, including Statements of Advice and Records of Advice. It also covers related obligations, including privacy requirements.
Included documents
| Document | Version | Type | Date |
|---|---|---|---|
| Advice and Disclosure Documentation Policy - AFSL | 2.1 | Policy | 19 Sept. 2024 |
| Client File Management Policy - AFSL, Wholesale | 2.0 | Policy | 23 Sept. 2020 |
| Client Files Adviser Policy - AFSL, Wholesale | 1.0 | Policy | 15 July 2020 |
| Data Collection Policy - AFSL, Wholesale | 1.0 | Policy | 7 June 2019 |
| Giving Financial Product Advice Policy - AFSL, Wholesale | 1.0 | Policy | 7 June 2019 |
| No Advice -v- General Advice -v- Personal Advice Guide - AFSL, Wholesale | 1.0 | Guide | 3 June 2019 |
| Advice Implementation Flowchart - AFSL | 1.0 | Tool | 26 June 2019 |