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 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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ASIC’s AFSL and ACL Application Charges Set to Increase on 1 July 2018
From 1 July 2018, ASIC will be able to charge fees for its services which include regulato...
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Licensing Assessment Delays to Continue as ASIC Increases their Licence Approval Timeframes
ASIC has announced changes to its service charter causing further delays to licence approv...
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Brokers Under Increased ASIC Scrutiny
The industry is under higher levels of scrutiny by the Australian Securities & Investm...
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AFSL and ACL Applicants Experience Further Delays in Obtaining Licences
With a surging number of Australian Financial Services Licence (AFSL) and Australian Credi...
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Is the FOS and CIO Merger Proposal the Key to Improve Our Dispute Resolution System?
The proposition to merge the Financial Services Ombudsman Services Australia (“FOS”), ...
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Extensive ASIC licensing timelines are here to stay
It's no secret that the Australian Securities and Investments Commission (ASIC) is struggl...
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