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Financial Planners and Advisers - Legal Requirements

At Sophie Grace we can assist financial planners with ensuring that their documentation meets the requirements as set out in the Corporations Act and ASIC's Regulatory Guides.  There's a variety of documents required to be provided to each client you deal with and they need to cover off all of the necessary items in order to be compliance with your obligations as either an AFSL holder or an Authorised Representative.

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Financial Planners and Advisers

We can advise on various topics covered by the Corporations Act such as financial services regulation issues. We can also assist in preparing and/or reviewing documents including:

  • Financial Services Guides (FSGs);
  • Future of Financial Advice (FOFA);
  • Conflicts of Interest and Conflicted Remuneration;
  • Fee Disclosure Statements;
  • Statements of Advice (SOAs);
  • Authorised Representative Agreements; and
  • Client/ Fee Service Agreements.