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ASIC Regulatory Guide 175: Licensing: Financial product advisers - Conduct and disclosure
This guide is for persons who provide financial product advice to retail clients, and their professional advisers (such as lawyers). It considers how certain conduct and disclosure obligations in Pt 7.7 and Div 2 of Pt 7.7A of the Corporations Act 2001 apply to the provision of financial product advice. Under Pt 7.7 of the Corporations Act, providing entities that provide financial product advice to retail clients must:
- prepare and provide a Financial Services Guide (FSG);
- give a general advice warning when giving general advice; and
- prepare and provide a Statement of Advice (SOA) when giving personal advice.
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