At Sophie Grace we can advise on complex, specialised topics within the Corporations Act and associated regulations which impact your business. Sophie Grace can advise of various financial services regulatory issues including:

  • Future of Financial Advice (FOFA);
  • Conflicted Remuneration and Conflicts of Interest; and
  • Managed Discretionary Accounts (MDAs).

Stockbrokers are likely to require a range of legal documentation in order to operate their business. Sophie Grace can assist with the following documents:

  • Financial Services Guides (FSGs);
  • Client Agreements;
  • Product Disclosure Statements (PDSs); and
  • Statements of Advice.