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Frequently asked questions about financial services regulation

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  Number Last updated Question
QFS 9 24/11/2003 Does a service company need to be a licensee or an authorised representative when its employees are involved in providing financial services on behalf of a related licensee?
QFS 21 16/10/2006 What licensing exemptions apply to foreign exchange transactions?
QFS 36 25/11/2003 What is the scope of the APRA wholesale licensing exemption under s911A(2)(g)?
QFS 37 04/12/2003 What financial services can I provide if I am a licensee and I am acting under a binder?
QFS 109 13/11/2003 Can an AFS licensee hold a binder without being an authorised representative?
QFS 114 19/04/2004 Who is my client?
QFS 116 24/11/2003 What dealing authorisations do I need to apply for if I am the trustee of a public offer entity in the superannuation industry?
QFS 122 19/05/2004 What guidance can ASIC give me about when I 'make a market'?
QFS 127 04/12/2003 If a retail client chooses to acquire a financial product, such as an interest in a managed investment scheme, and needs to fill out an application form to do so, what address should the client provide on that application form?
QFS 137 17/02/2004 What information about investment choice must a trustee of a superannuation fund include in its Product Disclosure Statement?
QFS 138 17/02/2004 What information about eligible rollover funds do superannuation trustees need to include in Product Disclosure Statements?
QFS 146 21/12/2006 How can continuous issuers of financial investments and contributory mortgage products comply with the PDS disclosure obligations?
QFS 151 25/11/2004 Does Policy Statement 179 affect whether a client of a managed discretionary account is a wholesale client?
QFS 155 11/01/2005 How should common fund expenses be notionally allocated in periodic statements?
QFS 165 13/11/2006 I am an authorised representative (or general insurance distributor). Do I have to refer to my AFS licensee in business documents?
QFS 166 04/05/2007 I am a body corporate that is an authorised representative of a licensee. Do my officers and employees also need to be authorised representatives of the licensee?

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About our FAQs
These FAQs provide general information about how we are regulating the financial services industry following our implementation of the Financial Services Reform legislation. We are unable to provide legal advice or interpretations of the legislation. These FAQs should not be treated as legal advice, nor as statements of our policy.

We are not able to comment or provide guidance on specific commercial situations. We recommend that you get your own professional advice before making any decisions about your particular situation.

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