ASIC Issues Warning over Dodgy Cold Calling Operators and Online Baiting Tactics

Since publishing ASIC Regulatory Guide 38 (“RG 38”) which covers the hawking prohibition, ASIC has issued periodic reminders and warnings to AFS licensees and Australian Credit Licensees (credit licensees) who provide financial services to retail clients or engage in credit activities. As an example, ASIC noticed that some financial advice licensee...

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Alicia Pevely

An integral member of the Sophie Grace team since 2012, Alicia has extensive experience in relation to financial services law, consumer credit law, regulatory matters and ASIC investigations. Working closely with her clients, Alicia has maintained a significant emphasis on AFS and credit licensing and liaising with ASIC. As General Manager, Alicia has oversight of all licence applications and provides advice and support in relation to more complex applications.

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