Types of financial service

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Home > Regulatory resources > Financial services > Giving financial product advice

RG 36 Licensing: Financial product advice and dealing

Giving advice (general and personal advice)

See also

Home > Regulatory resources > Financial services > Giving advice

Regulatory guides

RG 84 Super switching advice: Questions and answers 

RG 79 Managing conflicts of interest: An ASIC guide for research report providers

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

RG 200 Advice to super fund members

RG 244 Giving information, general advice and scaled advice

RG 246 Conflicted remuneration

RG 256 Client review and remediation conducted by advice licensees

RG 269 Approval and oversight of compliance schemes for financial advisers

Information sheets

INFO 168 Giving and collectively charging for intra-fund advice

INFO 182 Super switching advice - complying with your obligations

INFO 202 Disputes about the financial advisers register

INFO 205 Advice on self-managed superannuation funds: Disclosure of risks

INFO 206 Advice on self-managed superannuation funds: Disclosure of costs (see 19-277MR)

INFO 216 AFS licensing requirements for accountants who provide SMSF services

INFO 232 Fees for no service: Remediation

INFO 241 Prohibition on influencing employers’ superannuation fund choice: section 68A of the SIS Act (see 19-198MR)

INFO 264 FAQs: Design and distribution obligations for advice licensees and financial advisers (see news item)

Relief

CO 09/210 Intra-fund superannuation advice

ASIC Corporations (Advertising by Product Issuers) Instrument 2015/539

ASIC Corporations (General Advice Warning) Instrument 2015/540

ASIC Corporations (Real Estate Companies) Instrument 2015/1049

ASIC Corporations (Financial Product Advice – Exempt Documents) Instrument 2016/356

ASIC Corporations (Urgent Superannuation Advice) Instrument 2017/530

ASIC Corporations (Professional Standards—Transitional) Instrument 2018/894 (see 19-309MR)

COVID-19 advice relief

21-269MR ASIC further extends temporary financial advice relief measures in COVID 19 instrument

See 

INFO 262 FAQs: COVID-19 information for advice licensees and financial advisers

ASIC Corporations (COVID-19—Advice-related Relief) Instrument 2021/268 (see unincorporated amendments: ASIC Corporations (Amendment) Instrument 2021/848)

See also

21-072MR, 20-085MR, 20-135MR and 20-220MR

Example Record of Advice (ROA): COVID-19 relief measure (PDF 660 KB): see 21-072MR (Editor's note)

ASIC Corporations (COVID-19—Advice-related Relief) Instrument 2020/355 (repealed)

Proposals and consultation

19-218MR ASIC to review industry transition towards ending grandfathered remuneration for financial advice

CP 329 Implementing the Royal Commission recommendations: Advice fee consents and independence disclosure (see 20-056MR)

Response to ASIC Consultation Paper 332 Promoting access to affordable advice for consumers (Infographic: PDF 88 KB) (see 20-285MR; news article and CP 332 and submissions)

CP 333 Implementing the Royal Commission recommendations: Reference checking and information sharing (see 20-291MR)

Reports

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)

REP 17 Compliance with advice and disclosure obligations: Report on primary production schemes

REP 18 Superannuation switching surveillance: An ASIC report

REP 50 Superannuation switching surveillance: An ASIC report

REP 51 Report to the Parliamentary Joint Committee on late 2004 (and early 2005) superannuation switching advice surveillance

REP 362 Review of financial advice industry practice: Phase 2

REP 377 Review of advice on retail structured products

REP 442 Response to submissions on CP 216 Advice on SMSFs

REP 459 Professional indemnity insurance market for AFS licensees providing financial product advice

REP 490 Response to submissions on CP 254 Regulating digital financial product advice

REP 499 Financial advice: Fees for no service

REP 500 Response to submissions on CP 247 Client review and remediation programs and update to record-keeping requirements

REP 515 Financial advice: Review of how large institutions oversee their advisers

REP 562 Financial advice: Vertically integrated institutions and conflicts of interest

REP 575 SMSFs: Improving the quality of advice and member experiences

REP 614 Financial advice: Mind the gap

REP 627 Financial advice: What consumers really think (see 19-223MR)

REP 639 Financial advice by superannuation funds

See also

Regulatory index topic: Financial services disclosure - general advice warning

Regulatory index topic: Financial services disclosure - statements of advice

Regulatory index topic: Financial services disclosure - financial services guide

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Dealing

RG 36 Licensing: Financial product advice and dealing

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Funds management

See

Home > Regulatory resources > Funds management

Home > For finance professionals > Fund operators

Regulatory index topic: Funds management

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Custodial and depositary services

See

Regulatory indec topic: Financial services - Financial service providers - custodians

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Making a market

See also

Regulatory index topic: Financial markets

RG 172 Australian market licences: Australian operators

RG 177 Australian market licences: Overseas operators

INFO 230 Exchange traded products: Admission guidelines (see 20-088MR and 19-348MR)

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Debt capital markets

REP 668 Allocations in debt capital market transactions

REP 393 Handling of confidential information: Briefings and unannounced corporate transactions

REP 605 Allocations in equity raising transactions

RG 79 Research report providers: Improving the quality of investment research

RG 181 Licensing: Managing conflicts of interest

RG 264 Sell-side research

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Crowd-sourced funding

See also

Home > Regulatory resources > Financial services > Crowd-sourced funding

RG 261 Crowd-sourced funding: Guide for public companies (see 17-321MR and 18-314MR)

Attachment to RG 261: Template CSF offer document (DOCX 90 KB)

RG 262 Crowd-sourced funding: Guide for intermediaries (see 17-321MR and 18-314MR)

REP 657 Survey of crowd-sourced funding intermediaries: 2018–19

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Claims handling and settling services

20-300MR ASIC releases draft information sheet for insurance claims handling

See

Draft INFO 000 Claims handling and settling (PDF 644 KB)

Draft C12 proof on insurance claims handling and settling (PDF 90 KB)

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Last updated: 14/10/2021 11:36