Introducing…Alicia Pevely (Manager of Licensing and Compliance)
Alicia is the Manager of Licensing and Compliance here at Sophie Grace. If we had to de...
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The AFSL Audit Submission Date is Fast Approaching! Are you on Track for On-Time Lodgement?
The end of the financial year has come and gone, and by now you should be well on track t...
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Attention All AFSL and ACL Holders: Have you Submitted your Industry Funding Business Activity Metrics? The Deadline is Approaching!
AFSL and ACL holders are required to submit their business activity metrics by 27 Septembe...
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FOS is nearly over and AFCA is starting – what do you need to do?
Hopefully, you have already completed your Financial Ombudsman Service Australia ("FOS") a...
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Attention all Company Officeholders! What is a Solvency Resolution?
If you’re a director or company secretary of an Australian company, you may be aware tha...
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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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