Regulatory Guide 36 Licensing: Financial product advice and dealing CPD
This short course has been adapted from ASIC RG36 for those who may provide financial product advice or deal in a financial product as defined in the Corporations Act 2001 and their professional advisers.
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.
This ASIC 36 guide is for Australian financial services (AFS) licensees, authorised representatives and advice providers who give information and advice to retail clients, and explains:
• the differences between giving factual information, general advice and personal advice; and
• how to meet the advice obligations in Chapter 7 of the Corporations Act 2001, including the best interests’ duty and related obligations, when giving ‘scaled’ advice (i.e. personal advice that is limited in scope).
Latest Reviews for Regulatory Guide 36 Licensing: Financial product advice and dealing CPD
Sufficient Course Content
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