Industries/Financial Services/Financial Advisers
Financial Advisers.
AFSL, FASEA obligations and advice documentation.
Overview
Financial advisers and advice licensees operate under an AFSL with heavy conduct obligations — best interests, FDS, opt-in and design and distribution. We support licensees and authorised representatives with licensing, advice documentation and dispute response.
Where we're pulled in
Common challenges.
- AFSL variations for scaled or digital advice
- SoA, RoA and FDS templates that meet conduct obligations
- Authorised representative and corporate AR structures
- AFCA complaints and ASIC surveillance responses
How we help
Services tuned for financial advisers.
AFSL & AR agreements
Licensing, AR onboarding and corporate AR documentation.
Advice templates
SoA, RoA, FDS and opt-in templates aligned to current conduct standards.
Practice sales
Buying and selling advice books, including client-transfer and PI-tail cover.
Complaints & regulator
AFCA and ASIC engagement, including surveillance responses.
FAQs
Questions we hear often.
- Do you help solo advisers under a large licensee?
- Yes — including negotiating your AR agreement and setting up a corporate AR structure.
Keep reading
Related insights & professions.
Related professions
Talk to us
Legal built for financial advisers — financial services.
Send us a note about what you're working on. We'll respond within one business day and, if we're a fit, book a free 15-minute consultation with a senior lawyer.