Compliance Articles

Showing 1 to 10 of 47 articles:
Sean Graham
SEAN GRAHAM  |  FRIDAY, 1 MAR 2024
We recently learnt that 98% of the new advice licensees that commenced operation in 2023 were 'micro-licensees'-that is, licensees with fewer than ten advisers. Read more
Bartier Perry Lawyers
BARTIER PERRY LAWYERS  |  THURSDAY, 15 FEB 2024
The Australian Financial Complaints Authority (AFCA) complaints against financial firms in the banking and finance space rose 27% in the financial year ending 30 June 2023, bringing the total complaints in that sector to 53,638. Read more
Bartier Perry Lawyers
BARTIER PERRY LAWYERS  |  FRIDAY, 9 FEB 2024
There is no doubt the current economic climate is precarious. Continuing mortgage stress and cost-of-living pressures caused by the Reserve Bank of Australia's (RBA) series of rate increases is likely to result in more complaints being lodged with the ... Read more
Rachel Erlich
RACHEL ERLICH  |  FRIDAY, 2 FEB 2024
Do I need an AML Licence in Australia? It is a commonly asked question. Read more
Bartier Perry Lawyers
BARTIER PERRY LAWYERS  |  THURSDAY, 25 JAN 2024
The Australian Financial Complaints Authority (AFCA) is an independent and external complaint resolution scheme which considers complaints from consumers against entities operating in the credit, financial services, superannuation, and insurance ind ... Read more
James Kanabar
JAMES KANABAR , KERENSA SNEYD  |  FRIDAY, 1 DEC 2023
The Australian Securities and Investments Commission (ASIC)  has made some helpful amendments via the ASIC Corporations and Credit (Amendment) Instrument 2023/589 (the Instrument) to Australian Financial Service (AFS) and credit licensees' obligations ... Read more
Paul Derham
PAUL DERHAM  |  WEDNESDAY, 22 NOV 2023
Artificial Intelligence (AI) presents unique regulatory and other risks that need to be managed. Read more
Sarah Conte
SARAH CONTE  |  WEDNESDAY, 8 NOV 2023
Legislation that seeks to recognise the experience of eligible existing providers (that is, financial advisers) as an alternative pathway to meeting the education requirements recently passed both houses of parliament and has received Royal Assent. Read more
Samantha Hills
SAMANTHA HILLS  |  TUESDAY, 19 SEP 2023
The term 'managed investment scheme' is often used but not always well understood. You might have come across the term while planning a new business venture which will involve attracting investors and having them contribute funds. Read more
Laura Newton
LAURA NEWTON , LIAM HENNESSY , AVRYL LATTIN  |  WEDNESDAY, 23 AUG 2023
As the Australian Transaction Reports and Analysis Centre (AUSTRAC) continues taking enforcement action against non-compliance with Australia's existing anti-money laundering/counter-terrorist financing (AML/CTF) laws, there are strong indications that ... Read more
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