Providing Advice: Compliance Manual - AFSL, Wholesale

Are you a financial services business that provides personal advice to retail and/or wholesale clients?

Our extensive suite of policy templates and templates addresses the obligations imposed on AFS licensees under:

• the Corporations Act 2001;
• the Corporations Regulations 2001;
• ASIC Regulatory Guides (RG);
• ASIC instruments; and
• AFS licence conditions.

Each of the policy templates and templates below, once tailored to your business will assist you and your advisers in meeting their ongoing advice and disclosure obligations.

Each licence holder will require a slightly different combination of these materials, depending on their activities and licence authorisations.

The following is a list of core obligations included in the manual:

• Advice Fees (excluding OFAs)
• Aged Care
• Best Interests Duty (BID)
• Code of Ethics
• Gearing and Margin Lending
• Insurance
• Investment Products
• Key Obligations
• Managed Discretionary Accounts
• Ongoing Advice (including FDS)
• Overseas Clients
• Super and SMSF Advice
• Vulnerable Clients