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Financial Solicitation Letter

Financial Solicitation Letter Template for Australia

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Key Requirements PROMPT example:

Financial Solicitation Letter

"I need a Financial Solicitation Letter for my wealth management firm to approach sophisticated investors about a new sustainable energy investment fund, targeting minimum investments of AUD 500,000, with the offer period starting March 2025."

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Document background
The Financial Solicitation Letter is a crucial document in the Australian financial services industry used to initiate contact with potential investors or clients regarding financial opportunities. This document type must strictly comply with Australian regulatory requirements, including ASIC guidelines, the Corporations Act 2001, and various financial services regulations. Financial Solicitation Letters are typically used when financial service providers wish to present investment opportunities, financial products, or services to prospective clients. They must include comprehensive information about the offering, clear risk disclosures, sender's licensing details, and appropriate disclaimers. The document serves as both a marketing tool and a regulatory compliance document, ensuring that all communication with potential investors meets legal requirements while effectively presenting the financial opportunity.
Suggested Sections

1. Sender Details: Full business name, ABN, AFSL number, registered address, and contact information of the financial service provider

2. Recipient Details: Personalized recipient information including full name and address

3. Introduction: Brief introduction establishing the purpose of the communication and sender's credentials

4. Financial Opportunity Overview: Clear, compliant description of the financial product or service being offered

5. Key Benefits: Main advantages and features of the financial opportunity, presented in a factual, non-misleading manner

6. Risk Disclosure: Mandatory risk warnings and disclaimers as required by Australian financial regulations

7. Legal Disclaimers: Standard legal notices including that this is not personal financial advice

8. Call to Action: Clear next steps for the recipient, including how to obtain more information or proceed

Optional Sections

1. Market Analysis: Include when the opportunity requires market context or economic backdrop to be understood

2. Past Performance: If relevant and permitted, including mandatory disclaimers about past performance not indicating future returns

3. Client Testimonials: If permitted and available, including appropriate disclaimers and ensuring compliance with ASIC guidelines

4. Fee Structure: Detailed breakdown of fees and charges when specific financial products are being offered

5. Investment Terms: Specific terms and conditions when offering investment products

6. Cooling-off Rights: Information about cooling-off periods when required by regulations

Suggested Schedules

1. Product Disclosure Summary: Brief summary of key product features and risks

2. Fee Schedule: Detailed breakdown of all applicable fees and charges

3. Required Forms: Any forms or documentation needed for the recipient to proceed

4. Terms and Conditions: Full terms and conditions applicable to the offer

5. Financial Services Guide: If required, a guide explaining the financial services being offered

Authors

Alex Denne

Head of Growth (Open Source Law) @ tiktok³ÉÈË°æ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

alex.den.21@genieai.co
Relevant legal definitions





























Clauses






















Relevant Industries

Financial Services

Banking

Investment Management

Wealth Management

Private Equity

Venture Capital

Real Estate Investment

Superannuation

Insurance

Asset Management

Corporate Finance

Financial Technology

Relevant Teams

Legal

Compliance

Risk Management

Marketing

Business Development

Investment Management

Client Relations

Product Development

Sales

Wealth Management

Communications

Document Control

Relevant Roles

Compliance Officer

Financial Advisor

Investment Manager

Business Development Manager

Legal Counsel

Risk Manager

Marketing Manager

Financial Services Director

Wealth Manager

Portfolio Manager

Client Relationship Manager

Product Manager

Chief Investment Officer

Chief Compliance Officer

Sales Director

Industries








Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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