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Client communications

Page last updated: 1 Jun 2014

Client communications and record-keepingThis Guidance Note is for Authorised Financial Advisers (AFA) who provide personalised advice services to retail clients. It is also relevant to QFEs and other entities that employ AFAs.

The guidance covers our communication and record-keeping expectations for all forms of personalised services including financial advice, investment planning services and discretionary investment management services. It does not cover requirements for class services.