RegAlert

Guidance · ASIC · 20 Aug 2013 · RG-036

RG 36 Licensing: Financial product advice and dealing

licensing
securities

The Australian Securities and Investments Commission issued this guide to assist persons providing financial product advice or dealing in financial products under the Corporations Act 2001. It clarifies the legal meanings of providing financial product advice and dealing in a financial product. The document further outlines the specific obligations that apply to providers of financial services.

AustraliaAustralian Securities and Investments Commission

Issued June 2016

This guide 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 lawyers).

It gives guidance on the meaning of ‘provide financial product advice’ and the meaning of ‘deal in a financial product’. It also provides guidance on the obligations that apply to providers of financial services.

Download RG 36 (PDF 714 KB)

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Corporations Act 20012001 · AU-LAWCorporations Act 2001 (2001-06-28)RG 36 Licensing: Financialproduct advice and dealing2013-08-20 · this documentRG 36 Licensing: Financial product advice and dealing (2013-08-20)
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Issued under
  • Corporations Act 20012001 · AU-LAW

    “This guide 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”

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