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Under Pt 7.7 of the Corporations Act, providing entities that provide financial product advice to retail clients must prepare and provide a Financial Services Guide (FSG), give a general …
RG 36 is for persons who provide financial product advice or deal in a financial product as defined in the Corporations Act 2001 (Corporations Act) and their professional advisers (such as …
If you give financial product advice to retail clients, you must provide a Financial Services Guide (FSG). The FSG is designed to provide clients with enough information to decide whether to …
This information sheet provides tips to help advice providers comply with their legal obligations – including the best interests duty and related obligations in Division 2 of Part 7.7A of the …
Australian financial services (AFS) licensees and authorised representatives that receive monetary benefits (e.g. commissions) as part of the issue or sale of general insurance, certain …
The best interests duty and related obligations are designed to ensure that retail clients receive advice that meets their objectives, financial situation and needs, and that you act in the best …
the differences between giving factual information, general advice and personal advice; and how to meet the advice obligations in Ch 7 of the Corporations Act 2001, including the best …
A ‘providing entity’ is an Australian financial services (AFS) licensee, or an authorised representative of an AFS licensee, that provides personal advice to a retail client: see section …
13 thg 12, 2012 · how to meet the advice obligations in Ch 7 of the Corporations Act 2001, including the best interests duty and related obligations, when giving ‘scaled’ advice (i.e. …
See Regulatory Guide 175 AFS licensing: Financial product advisers – Conduct and disclosure (RG 175) for information about who is a retail client. Entities that provide financial product …
About this guide This guide is for persons who provide financial product advice to retail clients, and their professional advisers (such as lawyers). It considers how certain conduct and …
This is Information Sheet 264 (INFO 264). It is for Australian financial services (AFS) licensees who are advice licensees and for financial advisers. It explains how the design and distribution …
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