Compliance Articles

Showing 1 to 10 of 28 articles:
Matt Daley
MATT DALEY , AVI KUMAR  |  SUNDAY, 1 MAY 2022
ASIC has published Information Sheet 269 Discussing financial products and services online (Information Sheet 269), flagging three key areas social media influencers and AFS licence holders who use influencers need to be aware of. Read more
Katrina Bacon
KATRINA BACON , CECILIA STORNIOLO  |  FRIDAY, 22 APR 2022
As Australia's population ages, there is a greater need for superannuation funds to address the needs of the retired and retiring population. According to APRA's Annual Fund Bulletin, in June 2020, excluding SMSFs, 10% of account holders were aged 65 ... Read more
Rachel Erlich
RACHEL ERLICH  |  SUNDAY, 17 APR 2022
The Australian Financial Complaints Authority (AFCA) has received its first report card since commencing operations in November 2018. Read more
Assured Support
ASSURED SUPPORT  |  MONDAY, 4 APR 2022
From an advice perspective, how long can you rely on a Statement of Advice (SOA) to support your ongoing advice? To put it another way, how old and dated must an SOA be before you will stop using Records of Advice (ROAs) to streamline your advice pr ... Read more
Sean Graham
SEAN GRAHAM  |  FRIDAY, 26 NOV 2021
Advisers and licensees have had a lot of regulatory reform to manage in 2021, so it is no surprise that there is still a measure of confusion and uncertainty around these new arrangements. Queries about fee disclosure statements (FDSs) and ongoing fee ... Read more
Varun Bhatia
VARUN BHATIA  |  THURSDAY, 30 SEP 2021
With the implementation date of the internal dispute resolution changes imminent, many advisers and licensees will have commenced updating internal complaints procedures to comply with the Australian Securities and Investments Commission's (ASIC's) ... Read more
Sean Graham
SEAN GRAHAM  |  THURSDAY, 23 SEP 2021
Considering the deluge of regulatory reform bearing down on licensees and advisers, it is not surprising that the product design and distribution obligations have largely been overlooked. Read more
David Court
DAVID COURT  |  THURSDAY, 2 SEP 2021
The responsible manager (RM) of a licensee plays a key role under the financial services and credit licensing regimes. Read more
James Campbell
JAMES CAMPBELL , ALEXANDRA MCCAUGHAN  |  FRIDAY, 27 AUG 2021
In June 2021, consultation closed on the Australian Securities and Investments Commission's (ASIC) draft regulatory guidance [Regulatory Guide 78 Breach reporting by AFS licensees and credit licensees attached to Consultation Paper 340 Breach reporting ... Read more
Josephine Maiorana
JOSEPHINE MAIORANA  |  THURSDAY, 19 AUG 2021
The pace of regulatory change here and overseas shows no sign of abating. Europe's new Sustainable Finance Disclosure Regulation (SFDR) is likely to impact the local market. Read more
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