Types of financial service
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- Home > Regulatory resources > Financial services
Financial advice
Related information
- Home > Regulatory resources> Financial services > Financial advice hub
- Home> Regulatory resources > Financial services > Financial advice > Educational requirements > Financial adviser exam
- Home > Regulatory resources > Financial services > Financial advice > ASIC guidance
- Home > Regulatory resources > Financial services > Giving advice
- 22-303MR Financial adviser registration delayed
This section contains:
Regulatory guides
RG 36 Financial product advice and dealing
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 97 Disclosing fees and costs in PDSs and periodic statements
RG 104 Licensing: Meeting the general obligations
RG 105 AFS licensing: Organisational competence
RG 126 Compensation and insurance arrangements for AFS licensees
RG 146 Licensing: Training of financial product advisers
RG 166 Licensing: Financial requirements
RG 175 Licensing: Financial product advisers—Conduct and disclosure
RG 181 Licensing: Managing conflicts of interest
RG 200 Advice to super fund members
RG 221 Facilitating digital financial services disclosures
RG 234 Advertising financial products and services (including credit): Good practice guidance
RG 244 Giving information, general advice and scaled advice
RG 246 Conflicted remuneration
RG 255 Providing digital financial product advice to retail clients
RG 256 Client review and remediation conducted by advice licensees
RG 263 Financial Services and Credit Panel (see 22-206MR)
RG 267 Oversight of the Australian Financial Complaints Authority
RG 269 Approval and oversight of compliance schemes for financial advisers
RG 271 Internal dispute resolution
RG 277 Consumer remediation
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 227 What can limited AFS licensees do?
INFO 228 Limited AFS licensees: Advice conduct and disclosure obligations
INFO 229 Limited AFS licensees: Complying with your licensing obligations
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 250 Giving AFS and credit licensees information about their representatives (see news item)
INFO 256 FAQs: Ongoing fee arrangements
INFO 257 ASIC reference checking and information sharing protocol
INFO 259 Complying with the notify, investigate and remediate obligations
INFO 260 FAQs: Timeframe for passing the financial adviser exam
INFO 264 FAQs: Design and distribution obligations for advice licensees and financial advisers (see news item)
INFO 266 FAQs: Records of Advice (ROAs) (see 21-294MR)
INFO 267 Tips for giving limited advice (see 21-325MR)
INFO 268 FAQs: Regulation and registration of relevant providers who provide tax (financial) advice services (see news item - January 2023)
INFO 269 Discussing financial products and services online (see 22-054MR)
INFO 270 Warnings and reprimands (see 22-139MR)
INFO 273 FSCP decisions: Your rights (see 22-206MR)
INFO 274 Tips for giving self-managed superannuation fund advice
Related information
COVID-19 advice relief below
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)
ASIC Corporations (Existing Providers) Instrument 2022/241
ASIC Corporations (Adara Advisors) Instrument 2022/625
ASIC Corporations (Registration of Relevant Providers) Instrument 2023/490 (see News item 20/9/2023)
COVID-19 advice relief
22-083MR ASIC to allow COVID-19 temporary relief for financial advice to automatically repeal 15 April 2022
Related information
INFO 262 FAQs: COVID-19 information for advice licensees and financial advisers
ASIC Corporations (COVID-19—Advice-related Relief) Instrument 2021/268
Background
21-072MR, 20-085MR, 20-135MR, 20-220MR, 21-294MR and 21-269MR
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)
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 337 SMSFs: Improving the quality of advice given to investors
REP 362 Review of financial advice industry practice: Phase 2
REP 377 Review of advice on retail structured products
REP 413 Review of retail life insurance advice
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 636 Compliance with the fee disclosure statement and renewal notice obligations
REP 637 Response to submissions on CP 308 Review of Regulatory Guide 97
REP 638 Consumer testing of the fees and costs tools for superannuation and managed investment schemes
REP 639 Financial advice by superannuation funds (3 December 2019)
REP 662 Response to submissions on CP 327 on mortgage brokers and the best interests duty
Industry response to consultation on promoting consumer access to affordable advice (Article: 1 July 2021)
ASIC’s report on Ending grandfathered conflicted remuneration (published by the Treasurer: 16 July 2021)
REP 687 Response to submissions on CP 329 on advice fee consents and independence disclosure
REP 694 Response to submissions on CP 333 Implementing the Royal Commission recommendations: Reference checking and information sharing
REP 698 Response to submissions on CP 340 Breach reporting and related obligations
REP 707 Response to submissions on CP 335 Consumer remediation: Update to RG 256
REP 734 Response to submissions on CP 359 Update to RG 263 Financial Services and Credit Panel (see 22-206MR)
REP 735 Retail investor research (see 22-215MR)
REP 737 Response to submissions on CP 350 Consumer remediation: Further consultation
REP 740 Insights from the reportable situations regime: October 2021 to June 2022
Related information
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
Relevant providers
INFO 268 FAQs: Relevant providers who provide tax (financial) advice services
ASIC Corporations (Registration of Relevant Providers) Instrument 2023/490
News item 2/2/2023 Financial Advisers Register now displays whether financial advisers can provide tax (financial) advice
Background
Home > For finance professionals > AFS licensees > Professional standards for financial advisers
Dealing
RG 36 Licensing: Financial product advice and dealing
Funds management
Related information
Home > Regulatory resources > Funds management
Home > For finance professionals > Fund operators
Regulatory index topic: Funds management
Custodial and depositary services
Related information
Regulatory index topic: Financial services - Financial service providers - custodians
Making a market
Related information
Regulatory index topic: Financial marketsRG 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)
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
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
Background
Home > Regulatory resources > Financial services > Crowd-sourced funding
Claims handling and settling services
INFO 253 Claims handling and settling: How to comply with your AFS licence obligations (see 20-300MR and 21-067MR)
ASIC Corporations (Cash Settlement Fact Sheet) Instrument 2022/59 (see 22-034MR)
ASIC Corporations (Notification of Authorised Representatives) Instrument 2022/301 (see 22-146MR)
ASIC Corporations (Financial Services Guides) Instrument 2022/910 (see 22-327MR)