Compliance Library

What is SOA?

A statement of advice is a document that outlines the advice given to a consumer by the authorized planner or adviser of an AFSL.

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What is SOA?
What is an ROA?

What is an ROA?

Record of advice is a simple document you can provide to an existing client, confirming that the advice has been provided and implemented from the statement of advice.

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What is RG181 Disclosure?

RG181 Disclosure is an approach to compliance with the statutory obligation to manage conflicts of interest.

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What is RG181 Disclosure?
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