Regulatory Alerts2024-12-18 | RG-175RG 175 AFS licensing: Financial product advisers—Conduct and disclosure
The Australian Securities and Investments Commission issued this guide to assist financial product advisers and their professional advisers in understanding their regulatory obligations. It explains how specific conduct and disclosure requirements under Part 7.7 and Division 2 of Part 7.7A of the Corporations Act apply to the provision of financial product advice to retail clients. The document serves as a practical resource for ensuring compliance with these statutory duties.
Issued 21 November 2024
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 disclosure obligations in Pt 7.7 and Div 2 of Pt 7.7A of the Corporations Act apply to the provision of financial product advice.
Download RG 175 (PDF 1.1 MB)