Compliance and risk management for financial advisers


Following the recent reviews into financial planning advice and the banks, advisers are finding themselves having to defend their advice to licensees. This session will examine what a financial services expert considers to be a bulletproof client file and provide tips to assist you to file note and evidence the reasons for your advice. It will also explore ASIC guidance in relation to providing advice, licensee expectations and responding to audit ratings, and client expectations.

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