Identifying the client's relevant circumstances in regulatory guide 175

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REGULATORY GUIDE 175: Licensing: Financial product advisers—Conduct and applicable laws apply to you, as it is your responsibility to determine your client’s relevant circumstances, this does not by itself mean that any advice.
ASIC Regulatory Guide 175: Licensing: Financial product advisers lays to rest it as in the best interests of the client, given the client’s relevant circumstances, that it has identified the objectives, financial situation and needs of the client (or
2 May 2013 Determine the personal circumstances relevant to the advice being given to . in the best interests of the client, given the client’s relevant circumstances. Securities and Investments Commission (ASIC) has said in RG 175:.REGULATORY GUIDE 175: Licensing: Financial product advisers—Conduct and RG 175.301 Identifying the client’s relevant circumstances requires an advice Making inquiries RG 175.302 Advice providers must first consider whether the
9 Jun 2014 identified the objectives, financial situation and needs of the client that best interests of the client, given the client’s relevant circumstances.” In particular, ASIC states in its updated Regulatory Guide 175 ( RG 175 ) that : 7.
9 Aug 2012 Financial product advisers—Conduct and disclosure (RG 175). We are seeking (a) identify the objectives, financial situation and needs of the client that were disclosed that subject matter (client’s relevant circumstances);
14 Nov 2017 RG 175 Licensing: Financial product advisers—Conduct and disclosure product advice to retail clients, and their professional advisers (such
The ASIC Regulatory Guide RG 175 Licensing: Financial Product Advisers ‘(a) identified the objectives, financial situation and needs of the client that as relevant to advice sought on that subject matter (the client’s relevant circumstances);.
REGULATORY GUIDE 175 Licensing: Financial product advisers—Conduct and disclosure . Providing entities must determine and comply with their legal obligations, request information about the client’s relevant personal circumstances?
(i) a concise summary of the client’s relevant circumstances, as ascertained after making the inquiries For more information, see: RG 175.228–RG 175.235.

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