GRCGuideline

RG 175

RG 175 AFS licensing: Financial product advisers—Conduct and disclosure

This regulatory guide outlines the conduct and disclosure obligations of financial product advisers who provide advice to retail clients in Australia. It focuses on requirements under Part 7.7 and Division 2 of Part 7.7A of the Corporations Act.

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Overview

RG 175 is a regulatory guide issued by the Australian Securities and Investments Commission (ASIC) to assist persons providing financial product advice to retail clients. It details obligations relating to conduct and disclosure, which are governed by Part 7.7 and Division 2 of Part 7.7A of the Corporations Act. Key components include the framework for providing advice, disclosure requirements for advisers, and principles to ensure transparency and compliance. The guide serves as a reference for financial advisers and their legal representatives to meet Australian financial services licensing conditions.

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