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For those offering advice that could influence a client's decision to purchase a financial product, the Corporations Act 2001 requires you to hold an Australian Financial Services License (AFSL) or be authorised as a representative of an AFSL, unless covered by an exemption.
In order to provide financial planning advice, you must meet both initial and ongoing training standards as defined in the Australian Securities and Investments Commission's Regulatory guide 146 licensing: training of financial product advisers (RG 146).
Once you have successfully completed your training, you still cannot provide financial planning advice unless you are also licensed. Licensed refers to AFSL holders and representatives or authorised representatives of licence holders.
A new entrant to the financial services industry will generally not be able to obtain a license in the first instance, as there is an experience requirement which first must be met. Instead, they will need to operate under an existing AFS licence holder as either an authorised representative or a representative.
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