Disclosure Documents
Disclosure Documents - AFSL, Wholesale
Version 9.0 -
Last updated: 9 June 2023
This bundle comprises various disclosure documents, including a fact find, providing a comprehensive template for compliance with KYC; a number of financial services guides, including adviser profile template and suggested content; a letter for client to confirm the first client interview; a statement of advice (including for IBR), a record of advice, including guidance on when an ROA can be used in preference to an SOA; and disclaimers and warnings to be used in the provision of advice.
Included documents
| Document | Version | Type | Date |
|---|---|---|---|
| FSG Checklist Template - AFSL | 3.0 | Tool | 30 March 2023 |
| Fact Find Template - AFSL | 2.0 | Tool | 29 Jan. 2020 |
| Financial Services Guide (FSG): Adviser Profile - AFSL | 3.0 | Tool | 17 Sept. 2021 |
| Financial Services Guide (FSG): Authorised Representative (AR) and Corporate Authorised Representative (CAR) Version - AFSL | 5.0 | Tool | 17 Sept. 2021 |
| Financial Services Guide (FSG): Licensee Version - AFSL | 5.0 | Tool | 17 Sept. 2021 |
| Financial Services Guide (FSG): Provisional Adviser Profile - AFSL | 1.0 | Tool | 17 Sept. 2021 |
| Financial Services Guide (FSG): Managed Discretionary Account - AFSL | 1.0 | Tool | 9 June 2023 |
| First Interview Letter Template - AFSL | 2.0 | Tool | 8 Oct. 2020 |
| ROA Template - AFSL | 3.0 | Tool | 7 Dec. 2022 |
| Sample Disclaimers and Warnings - AFSL | 2.0 | Tool | 2 April 2020 |
| Statement of Advice - AFSL | 1.0 | Tool | 24 March 2022 |
| Statement of Advice (IBR) - AFSL | 1.0 | Tool | 7 Dec. 2022 |