At Sophie Grace we can assist financial planners ensure that their documentation meets the requirements as set out in the Corporations Act and ASIC’s Regulatory Guides. There are a variety of documents required to be provided to each client you deal with and they need to cover off all of the necessary obligations in order to comply with your obligations as either an AFSL holder or an Authorised Representative.
We can advise on various topics covered by the Corporations Act and associated regulations which may impact your business. Sophie Grace can advise of various financial services regulation issues including:
- Future of Financial Advice (FOFA); and
- Conflicts of Interest and Conflicted Remuneration.
We can also assist in preparing and/or reviewing documents including:
- Financial Services Guides (FSGs);
- Fee Disclosure Statements;
- Corporate Authorised Representative Agreements;
- Individual Authorised Representative Agreements;
- Client/Fee Service Agreements;
- Transfer Deeds;
- Termination Deeds.