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Financial Services Guide Part 2 (Adviser Profile) Date created 01 / 12 / 2015 1 FINANCIAL SERVICES GUIDE: PART 2 (Adviser Profile) PART 2 (Adviser Profile) SECTION 1 Part 2 (Adviser Profile) contains
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How to fill out financial services guide

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01
To fill out a financial services guide, start by gathering all the necessary information about your financial institution or service provider. This may include their name, contact details, and any relevant licensing or registration numbers.
02
Next, review the template or format provided by your financial institution or service provider for the financial services guide. Familiarize yourself with the sections and categories that need to be addressed in the guide.
03
Begin by providing an introduction to the guide, including a brief overview of the purpose and scope of the document. This section should also include any disclaimers or disclosures required by regulatory authorities.
04
Proceed to explain the range of financial services offered by your institution or service provider. This may include banking, investment, insurance, or other financial products or services. Clearly outline the features, benefits, and risks associated with each service.
05
Be sure to include information about any fees or charges that may be applicable to the financial services offered. This should include details about how these fees are calculated, when they are charged, and any potential penalties for late payments or non-compliance.
06
Provide information about the process for accessing and utilizing the financial services. This may include instructions on how to open an account, make transactions, or access online banking platforms. Outline any procedures or requirements that customers need to follow.
07
Explain the customer protection measures in place to safeguard their interests and investments. This may include details about dispute resolution processes, complaints handling procedures, or regulatory bodies that oversee the financial institution.
08
Ensure that the financial services guide is written in clear and understandable language. Avoid using technical jargon or complex financial terms that may confuse or mislead customers. Use headings, subheadings, and bullet points to improve readability.
09
Finally, review the completed financial services guide to ensure accuracy and comprehensiveness. Seek feedback from colleagues or supervisors to identify any areas that may require further clarification or improvement.

Who needs a financial services guide?

01
Any individual or entity seeking financial advice, products, or services should consult a financial services guide. This includes retail customers, businesses, and institutional investors.
02
Investors who are considering investing in financial products, such as managed funds, insurance policies, or superannuation schemes, should review the relevant financial services guide before making any decisions.
03
Customers who are planning to use the services of a financial planner or advisor should also request and review their financial services guide. This will provide valuable information about the advisor's qualifications, areas of expertise, and potential conflicts of interest.
04
It is important to note that the requirement for a financial services guide may vary depending on the jurisdiction and regulatory framework governing financial services in a particular country or region. It is always advisable to consult local regulations and seek professional advice when necessary.
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A financial services guide is a document provided by financial service providers to their clients to outline the services offered and important information about the provider.
Financial service providers are required to file a financial services guide.
Financial service providers must include information about their services, fees, charges, and complaints handling procedures in the financial services guide.
The purpose of a financial services guide is to inform clients about the services offered, fees involved, and how complaints can be made.
Information about services, fees, charges, and complaints handling procedures must be reported on the financial services guide.
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