ASIC Introduces Additional Information Requirements for AFSL Applicants
At the beginning of 2019, ASIC reviewed its Australian Financial Services Licence (AFSL) a...
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ASIC’s Regulatory Levies have been Released – What are you Required to Pay?
ASIC have released actual levy amounts for the 2017-18 financial year. ASIC regulated enti...
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Financial Adviser Training Requirements for Retail AFS Licensees – The Next Phase
A new year also saw the new professional standards requirements commence for financial adv...
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Updates to the Professional Standards Reform are Coming – Are you Prepared?
We are very quickly moving towards the commencement of the financial advisor professional ...
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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 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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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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