ASIC Continues its Crack Down on AFS and Credit Licensees for Failing to Comply with AFCA Requirements

All Australian Financial Services (AFS) licensees providing services to retail clients, Australian Credit Licensees, authorised credit representatives and superannuation trustees are required by ASIC to be a member of the Australian Financial Complaints Authority (“AFCA”) as part of their licensing conditions and cooperate with the scheme. Importan...

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Sophie Gerber

Sophie is the director of both the legal and compliance businesses. Sophie has worked with some of Australia’s largest financial services organisations in compliance, legal and operational roles. She has also worked with small businesses to provide tailored solutions with a strong understanding of business practicalities as well as obligations to regulators.

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You can purchase template documents from our online shop. The template is an instant download and includes prompts to help you tailor the document yourself. We have template documents for:

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