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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Eager to Know How Much you Have to Pay for ASIC’s Regulatory Costs?

If you have been regulated by Australian Securities and Investments Commission (ASIC) duri...

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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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Farewell FOS! The Australian Financial Complaints Authority is Here!

The Financial Ombudsman Service (“FOS”), the Credit and Investments Ombudsman (“CIO...

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In Case You Missed It – Available Online Now – Sophie Gerber Speaks at the Hong Kong iFX Expo

Sophie Grace Compliance and Legal Director, Sophie Gerber, was among four professionals wh...

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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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Why Referencing the Regulator in Marketing Material is Risky Business

Entities that operate in the financial services and credit industries will often reference...

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Q&A: APRA’s Tightening of Residential Mortgage Lending Practices

Introduction Welcome to Kaplan Professional’s Q&A series. To provide an overview of...

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