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SOA to ROA: ASIC Compliance Rules 2025

Australiau2019s financial advice industry is shifting from Statements of Advice (SOAs) to Advice Records (ROAs) in 2025, reflecting a move toward smarter, more client-friendly compliance. This transition requires licensees, advisers, and paraplanners to align with evolving ASIC guidelines, strengthen documentation practices, and embrace digital compliance systems. When managed effectively, ROAs can enhance efficiency, reduce costs, and improve client outcomes, while poor implementation risks regulatory scrutiny and reputational damage.

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SOA to ROA: ASIC Compliance Rules 2025

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