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Information required for a product ruling application – financial products checklist

Applicant checklist for financial product ruling applications.

Last updated 27 October 2016

Use the financial products checklist if you are applying for a product ruling on a financial product. To download this form to your computer, right click on the link and select 'Save (link) target as'. You will be able to complete this form on your computer.

The information you provide in this form and checklist forms part of your application. We require full disclosure for all documents relating to the scheme you seek a ruling for. If you do not provide enough information or if you fail to adequately address the your application will be invalid.

If your application is invalid, we will contact you or your agent. So that applicants who submit valid applications are not disadvantaged, we will not start work on your application until we receive missing or incomplete information and your application is confirmed as valid. Significant delays in providing missing or incomplete information means the product ruling will be delayed, or may be refused.

If you require any assistance, you can contact us via email.

When requested, we can hold discussions with applicants and their representatives before you submit a product ruling application. This allows us to canvas issues without prejudice, to assist the applicant prepare the product ruling application and reduce compliance costs.

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