ASX Guide to Listed Investments for Financial Planning Practices

Australians are investing more and more in shares and other ASX Listed Products.  According to ASX research (ASX Share Ownership Study – released 2005), there has been an increasing trend where retail investor’s seek advice and purchase listed products through financial planners. Financial planners are also seen as the most influential formal source of advice for direct investments

55 per cent of adult Australians (8 million people) now include shares as an asset class in their investment portfolio. ASX believes that this is the highest reported level of retail share ownership in the world.
Source: ASX  Share Ownership Study

The challenge for financial planning practices is to find an efficient, scalable and profitable way to incorporate advice on ASX Listed Products into their businesses. This Kit identifies some of the key areas that are different for a financial planner looking to incorporate advice on ASX Listed Products into their business.

Download the guide

ASX Guide to Listed Investments for Financial Planning Practices (292KB PDF)

Purpose of the guide

The main purpose of the Guide is to serve as a practical guide for Licensees and their Authorised Representatives. The Guide is intended to give you a better understanding of how to incorporate advice on ASX Listed Products into your business.

The Guide provides you with checklists, tools and information to help you make informed decisions about how to structure your business to incorporate advice on ASX Listed Products.

The Guide is not intended to be used as a compliance manual or provide legal or financial product advice. It is intended to give you a greater understanding of how to provide advice on ASX Listed Products that is compliant and suits the needs of your business including the levels of business risk.  Once you have made the business decisions to provide such advice, you will need to obtain independent legal and compliance advice on how to satisfy regulatory obligations.

Content

The Guide provides introductory guidance for ASX Listed Investments in the areas of:

  • Compliance and Risk Management 
  • Training and Education
  • Research
  • Administration and Execution
  • Client Communication

How to use the guide

The link below takes you to an interactive pdf. version of the Guide. The flow diagram on page 3 will help you navigate your way through the document.  You can use the imbedded links to take you to each section of the Guide or to find additional information and resources.

For more information

Contact Adviser Services - Adviser.Services@asx.com