Financial Adviser Manual

A two-part manual with concise advice process and detailed guidance on key issues, covering:

IN THE MANUAL.

• Client contact and engagement
• Collecting client information
• AML-CTF compliance
• Retail vs. wholesale clients
• Preparing and presenting advice
• Implementing advice
• Execution only services
• Ongoing client service
  

IN THE COMPANION.

• Financial, tax and credit services
• Marketing
• Duties to clients
• Privacy and confidentiality
• Conflicts of interest
• The FSG, SoA, RoA and PDS
• Fee disclosure statements
• Claims, complaints and communications

Benefits:

• Comprehensive one-stop financial advice guide
• Seamlessly integrates relevant Acts and Regulations, Class Orders, Regulatory Guides, Info Sheets and industry Codes of Practice
• Contains customisable policies, procedures and templates
• Distinguishes retail and wholesale clients
  Packed full of practical tips, traps and diagrams
• Detailed table of contents ensures easy navigation
• Fully footnoted
• Supports your quality assurance programme
• Regularly updated to reflect changing regulation, policy and practice an additional fee applies

Use:

• Convenient reference guide
• Customise to create policies and procedures for your business
• Combine with the AFS Licensee Manual and Compliance Calendar for a complete compliance management system
  

This price is for use by 5 advisers. Discounts are available for >5 advisers. Contact us for a quote.