Policy has bee updated to remove relief which expired on 15 April 2021 and contains the remaining relief.

This consists of the ability to provide ROAs instead of a SOA where the clients circumstances significantly adversely economically affected by Covid.

This policy has been updated as per the legislative instrument published in March 2021. It details the formatting requirements of the lack of independence disclosure.

This disclosure must:

  • Appear on the first page
  • Be contained within a box with a bold heading
  • The font size must be similar to other font size in the document
  • The disclosure cannot be in a footnote

Updated reference to Regulatory Guide 246. Changes are in mark up.

Updated for 1 January 2021 removal of grandfathered commissions. Changes are marked up.

Minor update with additional instructions on which policies are needed for each Licensee at minimum. Changes are marked up for ease of reference.

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