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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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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The Importance of Updating your ASIC Financial Advisers Register Listing
Since its launch on 31 March 2015, ASIC’s Financial Advisers Register (“the Register...
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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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New Guidance for Funds Management Released for Consultation
Introduction The Asia Region Funds Passport (“Passport”) and the Corporate Collecti...
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Initial Coin Offerings: A Global Perspective
With the increasing popularity of Initial Coin Offerings (ICOs) (a product which adopts th...
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