Financial Adviser Manual

$1,800 inc GST

A step by step guide to the financial planning and life advice process. Suitable for Financial planners & Life advisers

This product is currently out of stock

 

Features:

A two-part manual with concise advice process and detailed guidance on key issues, covering:

IN THE MANUAL.

  • Client contact and engagement
  • Collecting client information
  • AML-CTF compliance
  • Retail vs. wholesale clients
  • Preparing and presenting advice
  • Implementing advice
  • Execution only services
  • Ongoing client service

IN THE COMPANION.

    • Financial, tax and credit services
    • Marketing
    • Duties to clients
    • Privacy and confidentiality
    • Conflicts of interest
    • The FSG, SoA, RoA and PDS
    • Fee disclosure statements
    • Claims, complaints and communications

    Benefits:

    • Comprehensive one-stop financial advice guide
    • Seamlessly integrates relevant Acts and Regulations, Class Orders, Regulatory Guides, Info Sheets and industry Codes of Practice
    • Contains customisable policies, procedures and templates
    • Distinguishes retail and wholesale clients
      Packed full of practical tips, traps and diagrams
    • Detailed table of contents ensures easy navigation
    • Fully footnoted
    • Supports your quality assurance programme
    • Regularly updated to reflect changing regulation, policy and practice an additional fee applies

    Use:

    • Convenient reference guide
    • Customise to create policies and procedures for your business
    • Combine with the AFS Licensee Manual and Compliance Calendar for a complete compliance management system


    This price is for use by 5 advisers. Discounts are available for >5 advisers. Contact us for a quote.

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