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Example Statement of Advice Pages

Please find below examples and samples of a scaled statement of advice as provided by ASIC. Please note all information has been sourced from the ASIC Example RG 90

ASIC provide this as a guide for Australian financial services licensees, authorised representatives, and advice providers who give information and advice to retail clients.

Please ensure you download and reference the entire guide before using any of the information contained below

Download ASIC Scaled - Statement of Advice Examples

Scaled Advice SoA Example - PDF
File Size: 267 kb
File Type: pdf
Download File

Scaled Advice SoA Example - Word
File Size: 86 kb
File Type: docx
Download File


Statement of advice Sections

  • Statement of Advice - Cover Page
  • Statement of Advice - Summary of Recommendations and Commissions
  • Statement of Advice - What you Want
  • Statement of Advice - What you should know about my advice
  • Statement of Advice - About you (the client)
  • Statement of Advice - My Advice
  • Statement of Advice - How to Follow my Advice / Commissions / Authority to Proceed
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    Statement of Advice Cover Page

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    Statement of Advice - Summary of Recommendations and Commissions

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    Statement of Advice - What you Want

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    Statement of Advice - What you should know about my advice

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    Statement of Advice - About you (the client)

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    Statement of Advice - My Advice

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    Statement of Advice - How to Follow my Advice / Commissions / Authority to Proceed

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    Please note the following;
    • This ASIC example is based on a hypothetical and limited financial advice scenario developed in consultation with ASIC stakeholders.
    • Table 6 and Table 7 describe the advice scenario, while the example SOA is set out in Appendix 2
    • 96 The scenario deals with Brad and Zara Black—a married couple with two young children who have asked a financial planner, Sally Chong, to advise them on personal insurance cover in the event of death or disability, taking into account their current income and assets. Sally is an authorised representative of AFS licensee Planforit Pty Ltd.
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