Guide to providing advice to wholesale clients

Wildflower Capital  |  14 May 2024  |  0.50 CE

This Guide sets out a procedure to recommend financial products that are only available to Wholesale Clients. It outlines the steps that should be taken by an Advice Licensee before it or its representatives recommend a Wholesale Product to a client to comply with the Corporations Act 2001.

The Guide assumes that the Advice Licensee may be interacting with the client as both a retail and Wholesale Client, depending on the advice provided. For example, advice given to a client about establishing an SMSF and life insurance contract will typically be provided to the client as a retail client. ...

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