Practice Notes

Last Revised Date: 04 January 2019

Practice Note on Recommendations on Investment Products [FAA PN-02]

Provides guidance to financial advisers and their reps on the assessment they must conduct on a client before recommending any complex investment product to their clients.

Applies to: Licensed Financial Adviser , Exempt Financial Adviser

View Document Practice Note on Recommendations on Investment Products [FAA PN-02] (249.9 KB)

02 Mar 2015: Previous version last updated on 02 March 2015 (172.7 KB)