Part C: Do any other Corporations Act or ASIC Act obligations apply to me if I provide a financial service that is covered by reg 7.1.29?

Yes. Reg 7.1.29 only has the effect that the financial service that you provide is taken not to be a financial service for the purposes of Chapter 7 of the Act. You may still be providing financial services for the purposes of the ASIC Act, and you will therefore need to comply with the consumer protection provisions in Div 2 of Part 2 of the ASIC Act.

For example, you must not engage in conduct that is misleading or deceptive in relation to the financial services you provide, or conduct that is likely to mislead or deceive. You should note that this is an objective test and does not depend on any particular person in fact being misled. It is sufficient if your conduct is likely to mislead.

It may be misleading or deceptive to suggest that you are able to lawfully advise about financial products for which you do not hold an authorization to advise. More.

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