Released 12 December 2002. Comment closed 21 February 2003.

This policy proposal paper considers how certain conduct and disclosure obligations in Part 7.7 of the Corporations Act 2001 (Corporations Act) and the relevant regulations apply to the provision of financial product advice to retail clients.

It sets out our proposed policy for administering the law in relation to:

• providing financial product advice (Section A);
• preparing and providing a Financial Services Guide (FSG) (Section B);
• preparing and providing suitable personal advice (Section C); and
• preparing and providing a Statement of Advice (SOA) (Section D).

Download CP 39 (PDF 342 KB) | Read the information release