ASIC Regulatory Levies – Answers to the Questions we’ve been Asked!
Australian Financial Services (AFS) licensees should by now have received their invoice fr...
Continue Reading
ASIC Introduces Additional Information Requirements for AFSL Applicants
At the beginning of 2019, ASIC reviewed its Australian Financial Services Licence (AFSL) a...
Continue Reading
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...
Continue Reading
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...
Continue Reading
Updates to the Professional Standards Reform are Coming – Are you Prepared?
We are very quickly moving towards the commencement of the financial advisor professional ...
Continue Reading
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...
Continue Reading
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 ...
Continue Reading
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...
Continue Reading
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...
Continue Reading