RG 36 Licensing: Financial product advice and dealing

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 584 KB)

Last updated: 20/08/2013 12:00