INFO 266

FAQs: Records of Advice (ROAs)

This is Information Sheet 266 (INFO 266). It answers frequently asked questions (FAQs) about the obligations that apply to a providing entity when providing personal advice to retail clients.

Source: https://www.asic.gov.au/regulatory-resources/financial-services/giving-financial-product-advice/faqs-records-of-advice-roas/. Rules Mate indexes + summarises; always verify against the regulator's live publication.