Manual

Providing Advice: Compliance Manual - AFSL, Wholesale

Last updated: 12 Feb. 2024

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

Included documents

Document Version Type Date
Providing Advice Compliance Manual Part A (Key Obligations) - AFSL - Compilation 12 Feb. 2024
Providing Advice Compliance Manual Part B (Specific Advice Areas) - AFSL - Compilation 22 June 2023
Providing Advice – Tools - AFSL - Compilation 12 Feb. 2024
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): Managed Discretionary Account - AFSL 1.0 Tool 9 June 2023
Financial Services Guide (FSG): Provisional Adviser Profile - AFSL 1.0 Tool 17 Sept. 2021
FSG Checklist Template - AFSL 3.0 Tool 30 March 2023
First Interview Letter Template - AFSL 2.0 Tool 8 Oct. 2020
Statement of Advice - AFSL 1.0 Tool 24 March 2022
Statement of Advice (IBR) - AFSL 1.0 Tool 7 Dec. 2022
ROA Template - AFSL 3.0 Tool 7 Dec. 2022
Sample Disclaimers and Warnings - AFSL 2.0 Tool 2 April 2020
Client Fact Sheet – Contributing To Super – Your Options - AFSL 4.0 Tool 17 Nov. 2022
Client Fact Sheet – Retirement Income – Your Options - AFSL 3.0 Tool 17 Nov. 2022
Client Fact Sheet – Death Benefits in Super – Your Options - AFSL 1.0 Tool 7 Dec. 2020