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)

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Home > Regulatory resources > Financial services > Giving advice

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

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

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)

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)

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

CP 332 Promoting access to affordable advice for consumers (see 20-285MR)

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

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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Operating a scheme

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

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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)

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Crowd-sourced funding

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

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

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

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Last updated: 30/03/2021 09:22