Australian Securities and Investments Commission - 14-240MR Record-keeping obligations updated

Log in / Sign up. The updated obligations require Australian financial services (AFS) licensees to keep records to prove that the AFS licensee and its representatives have complied with the Future of Financial Advice (FOFA) best interests duty and related obligations when they give personal advice to retail clients. Class Order [CO 14/923] Record-keeping obligations for Australian financial services licensees when giving personal advice Report 409 Response to submissions on CP 214 Updated record keeping obligations for AFS licensees (REP 409) Consultation Paper 214 Updated record-keeping obligations for AFS licensees (CP 214) Industry submissions to CP 214.

Source: http://media.australia.gov.au/notify/click.cgi?url=http%3A%2F%2Fwww.asic.gov.au%2Fasic%2Fasic.nsf%2Fbyheadline%2F14-240MR%2BRecord-keeping%2Bobligations%2Bupdated%3FopenDocument&collection=releases&rank=12&auth=ICGsmpQ1nr5A2t0QpdNv%2Bg

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