Should you be Conducting More Stringent Monitoring and Supervision of your Representatives?
If you are the holder of an Australian Financial Services Licence (AFSL) or an Australian ...
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Are you Providing Sufficient Notice to Clients Regarding Authorised Representatives or Credit Representatives Leaving?
AFSL holders have the responsibility to provide sufficient notice to clients that an Autho...
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ASIC’s Letter to all AFSL and ACL Holders – Action Required by September 2018 for Industry Funding
By now, all AFSL and ACL holders should have received instructions in relation to ASIC’s...
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ASIC’s Fees-for-Service Commenced on 4 July 2018 – How Do the New Fees Affect You?
The government passed ASIC’s ‘Fees-for-Service’ legislation on 28 June 2018 which me...
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Eager to Know How Much you Have to Pay for ASIC’s Regulatory Costs?
If you have been regulated by Australian Securities and Investments Commission (ASIC) duri...
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Providing Financial Services Unlicensed? ASIC Steps Up Enforcement Action
The Australian Securities and Investments Commission (ASIC) has stepped up enforcement aga...
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Changes to the European Privacy Regulations Commence this Month!
The European General Data Protection Regulation (GDPR) will come into effect on 25 May 201...
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Registrations Open for Digital Currency Exchange Providers
Changes to the Anti-Money Laundering and Counter-Terrorism Financing (AML/CTF) Amendment I...
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New Professional Standards and Training Obligations for Financial Advisers are Coming Soon
From 1 January 2019, all new financial advisers will be required to meet the new professio...
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