Assignment Task
Activity 1 Identify and explain key elements of RG245 that AFS licencees and representatives must consider when entering into ongoing fee arrangements. (Explain the legal environment including disclosure and compliance covering the role of the representative or adviser).
Activity 2 Explain the legal basis and purpose of providing a statement of advice to a client. (Explain the legal environment including disclosure and compliance covering relevant legal principles).
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Get Help Now!Activity 3 Explain the legal and ethical issues surrounding the payment of trailing commissions to finance and mortgage brokers and advisers. (Explain the legal environment including disclosure and compliance covering the relationship between ethics and regulatory requirements).
Activity 4 Identify and explain the regulatory basis for risk disclosure in the Australian financial planning industry. (Name relevant industry codes of practice and conduct).
Activity 5 Explain what a client should do if they have a complaint about a statement of advice. (Identify complaints resolution procedures (internal and external).
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