AS AFSL holders think about their annual audit and ensuring financial reports are lodged on time, it’s important to consider whether your company falls within
To assist Australian Financial Services (“AFS”) Licensees and Limited AFS Licence Holders in their audit preparation, Sophie Grace has prepared the following checklist of important
With a number of high profile cases and inquests into money laundering being played out in the media recently, many directors and Responsible Managers are
Australian Financial Services Licensees (“AFS Licensees”) whose advisers provide personal advice to retail clients in a variety of products, including derivatives and/or foreign exchange contracts,
In recent months, social media has seen a boom in the “Finfluencer”. Finfluencers are social media influencers who use their platform and reach to discuss
Before granting an Australian Financial Services Licence (“AFSL”) or Australian Credit Licence (“ACL”), ASIC must be satisfied that an individual is a fit and proper
Earlier this year, relief was implemented for claims handling and settling AFS Licensees in relation to the provision of a Cash Settlement Fact Sheet (CSFS).
Relief for business introduction services has been extended until 1 October 2022 by ASIC. To rely on the extension from 1 April 2022, entities are
ASIC’s recent landmark case against RI Advice Group Pty Ltd has highlighted the importance of Australian Financial Services Licence (“AFSL”) and Australian Credit Licence (“ACL”)