We act for a range of financial planning dealer groups. Some have hundreds of financial planners, others have just a few.
Our related business can help you get an Australian Financial Services Licence so that you can run your financial planning practice under its own AFSL. (Click the link for lots of information and articles about how to do this.)
We can also help you set up or review:
- Disclosure documents and templates (FSG, PDS, SOA)
- Authorised Representative agreements
- Shareholder agreements
- AFSL-specific employment agreements
Ongoing compliance for a financial planner
Our business aims to help you stay out of court and out of the hands of the regulator. We do this by providing a number of services, including:
For starters, you should subscribe to our
free blog for regulatory updates relevant to financial planners.
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