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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