Licensees need to ensure robust measures are in place to prevent a fees for no service event from occurring. Read more

While automation provides efficency for businesses, licensees need to be mindful of the potential implications it brings. Read more

Licensees can face unique risks across legal, operational, and regulatory areas, depending on their business type. Read more

How scams are emerging as a significant compliance and reputational threat for finanical services businesses in Australia. Read more

Regulatory enforcement activity against insurers has continued apace in 2025. Read more

While down from its peak following the Financial Services Royal Commission, regulatory enforcement activity against insurers has continued apace in 2025. Read more

AUSTRAC's legal action against a major club operator highlights serious AML failures and sends a clear message - templated frameworks are not enough. Read more

Unlike a director or officer, a Responsible Manager (RM) is not a legal concept. Read more

The Australian Securities and Investments Commission (ASIC) has provided some additional relief from the 'reportable situations' regime that applies to Australian Financial Services (AFS) and credit licensees. Read more

In my career, I have been required to 'handle' three significant adviser frauds, so I know that while most advisers operate with integrity and professionalism - means, motive, opportunity and lax oversight can lead to advisers making choices whose consequences ... Read more