Industries/Financial Services/Financial Advisers

Financial Advisers.

AFSL, FASEA obligations and advice documentation.

Who we advise

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.

What we do 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.

Examples we're pulled in on

• 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

FAQs

Do you help solo advisers under a large licensee?

Yes — including negotiating your AR agreement and setting up a corporate AR structure.

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