This template is an Advice Policy that is easily customisable to your business. The document aims to provide your representatives and employees guidance in relation to the provision of personal financial product advice to retail clients and to ensure your company maintains the highest levels of professional integrity and ethical conduct.
This policy has been developed in accordance with AFSL requirements and your obligations under the Corporations Act and includes procedures in relation to:
- the Best Interests Duty and the steps for safe harbour;
- Fee Disclosure Obligations;
- Record Keeping Obligations; and
- other obligations under Part 7.7A of the Corporations Act.
All Sophie Grace Template Documents are available for instant download.
If you require a tax invoice or have any problems with your purchase, please contact us.
Go back to AFSL Compliance Documents and Policies.