Conduct and disclosure obligations for financial advisers

ASIC has released an updated Regulatory Guide 175 Licensing: Financial product advisers – Conduct and disclosure (RG 175).

The update is a consolidation of guidance previously provided by ASIC, including guidance through ASIC’s frequently asked questions about financial services and media advisories. The update incorporates changes in the law since the regulatory guide was last updated on 28 May 2007

 

Your Compliance Support Plan

We understand you need a cost-effective way to keep up to date with regulatory changes. Talk to us about our fixed price plans.