Wholesale Client Acknowledgement Forms

Suitable for Financial planners and life advisers who provide advice to wholesale clients.

Contains a package of four wholesale client acknowledgment forms which:

• Explain what it means to be treated as wholesale client (as opposed to a retail client)
• Capture each wholesale client’s understanding of what it means to be treated as wholesale client
• Capture each wholesale client’s consent to be treated as wholesale client

Benefits:

• Suitable for use with wholesale clients
• Takes the Corporations Act and FASEA Code of Ethics requirements into account
• Adapted and updated for changing community expectations following the Banking Royal Commission
• Four different forms tailored for four different types of wholesale clients – individuals, companies, SMSFs and family trusts
• Keep forms on file to capture each wholesale client’s understanding and acknowledgement
• Includes detailed content and guidance

Use:

• Capture each client’s consent to be treated as a wholesale client
• Four different templates – one for individuals, one for companies, one for SMSFs and one for family trusts

This price is for use by 5 advisers. Discounts are available for >5 advisers. Contact us for a quote.