1. Compliance
  2. Guidance library
  3. Financial advice

Financial advice

Show advanced search

Found 13 results. Displaying page 1 of 1

  1. 2 July 2015

    Class exemptions for managing intermediaries

    150702 Information sheet: class exemptions for managing intermediaries
    A ministerial class exemption has been granted relating to customer due diligence obligations for managing intermediaries, under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009. The exemption comes into force from 3 July, 2015. This information sheet helps reporting entities understand it.


  2. 1 January 2015

    AFA adviser business statement guide

    150101 AFA Adviser business statement guide The main changes from the previous version of the guide have been to reflect recent changes to the Code and the addition of information regarding the eligibility criteria for AFAs providing Personalised DIMS under the Financial Advisers Act.  Advisers providing Personalised DIMS will need to ensure that their ABS contains all of the required information with respect to Personalised DIMS.  All other advisers should be mindful of the change...