Financial services disclosure

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Overview

RG 175 Licensing: Financial product advisers - Conduct and disclosure

RG 221 Facilitating online financial services disclosures

RG 246 Conflicted and other banned remuneration (see 20-318MR)

INFO 99 Disclosure of credit ratings in Australia

ASIC Corporations (Facilitating Electronic Delivery of Financial Services Disclosure) Instrument 2015/647

ASIC Corporations (Removing Barriers to Electronic Disclosure) Instrument 2015/649

ASIC Corporations (Disclosure Relief—Offers to Associates) Instrument 2017/737

REP 29 Preferential remuneration project

REP 30 Disclosure of soft dollar benefits: An ASIC research report

REP 42 Insurance broker remuneration arrangements

REP 443 Response to submissions on CP 224 Facilitating electronic financial services disclosures

REP 632 Disclosure: Why it shouldn’t be the default (see 19-279MR)

See also

Regulatory index topic: Financial services - Product disclosure - Dollar disclosure

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Financial services guide

See also

Home > Regulatory resources > Financial services > Giving advice > Financial services guide

RG 175 Licensing: Financial product advisers

RG 179 Managed discretionary account services

ASIC Corporations (Financial Services Guides) Instrument 2015/541

ASIC Corporations (Superannuation and Schemes: Underlying Investments Instrument 2016/378

CO 12/417 Information in a Financial Services Guide given in a time-critical situation

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Statements of advice

See also

Home > Regulatory resources > Financial services > Giving advice > Statement of advice

RG 90 Example Statement of Advice for a limited financial advice scenario for a new client

RG 175 Licensing: Financial product advisers

RG 221 Facilitating online financial services disclosures

ASIC Corporations (Facilitating Electronic Delivery of Financial Services Disclosure) Instrument 2015/647

ASIC Corporations (Removing Barriers to Electronic Disclosure) Instrument 2015/649

REP 557 Response to submissions on CP 284 Example Statement of Advice for life insurance: Update to RG 90

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General advice warning

RG 175 Licensing: Financial product advisers

ASIC Corporations (General Advice Warning) Instrument 2015/540

REP 5 Review of the financial advising activities of real estate agents (interim report

REP 6 Review of the financial advising activities of real estate agents (technical paper) 

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Advice fee consent and lack of independence disclosure

21-058MR ASIC releases advice fee consent and lack of independence disclosure legislative instruments

See

ASIC Corporations (Consent to Deductions—Ongoing Fee Arrangements) Instrument 2021/124

ASIC Corporations (Disclosure of Lack of Independence) Instrument 2021/125

ASIC Superannuation (Consent to Pass on Costs of Providing Advice) Instrument 2021/126

Sample form (ongoing fees - PDF 137 KB), Sample form (non-ongoing fees - PDF 88 KB) and FAQs

REP 687 Response to submissions on CP 329 on advice fee consents and independence disclosure (see CP 329 and submissions and 20-056MR)

Ongoing fee arrangements

21-134MR ASIC releases guidance on ongoing fee arrangements

See

INFO 256 FAQs: Ongoing fee arrangements 

RG 175 Licensing: Financial product advisers—Conduct and disclosure

ASIC Corporations (Disclosure of Lack of Independence) Instrument 2021/125

CP 332 Promoting access to affordable advice for consumers

Response to ASIC Consultation Paper 332 Promoting access to affordable advice for consumers (Infographic: PDF 88 KB): see news article

See also consequential amendments

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Secondary services

RG 175 Licensing: Financial product advisers

ASIC Corporations (Financial Services Guides) Instrument 2015/541

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Last updated: 03/09/2021 03:24