What advisers should focus on as a new regulatory horizon dawns
Amanda Mark discusses adapting to ASICs evolving priorities with a current focus on fulfilling specific requirements regarding consumer protection in this recent article published in the Insider Adviser September 2024.
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Australian Financial Services Licence (AFSL) Compliance & Obligations
An Australian Financial Services Licence, or AFSL, is a legal licence provided by the Australian Securities and Investments Commission (ASIC). Certain businesses in the country’s financial services industry are required to have an AFSL, depending on the type of financial products or services they provide.
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The importance of maintaining compliance and integrity standards in all business communications
Australian financial firms are reminded by ASIC of the importance of maintaining compliance and integrity standards in all business communications.
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Guide to the Quality of Advice Review (QAR) | Mintegrity
The Quality of Advice Review (QAR) is a report presented to the Australian Government. It concerns the definitions, quality and provision of financial advice by Australian Financial Services Licence (AFSL) holders, proposing new understandings of the current frameworks and guidelines.
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Meeting your obligations: The importance of AR/CAR supervision and monitoring
A financial firm’s regulatory compliance responsibilities differ depending on the services it provides. However, one constant for every Australian Financial Service License (AFSL) holder is the requirement to meet the general obligations under Section 912A(1) of the Corporations Act 2001.
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Wholesale investor reforms: Raising the bar
Amanda Mark features in this recent article published in the Financial Standard on Australia’s Treasury is review of the regulations for managed investment schemes (MIS), potentially raising the financial threshold for “sophisticated investors”. Financial Standards Feature Wholesale investor reforms Vol22No6 April 8, 2024
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The suspenseful truth of the overused Suspense account
Amanda Mark explores the do’s and don’ts of using suspense accounts and how to use them within a robust compliance framework in this recent article published in April’s SIAA Monthly.
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Are brokers, advisers and investors ready for new T+1 settlement rules in the USA?
In a recent article in Advisor Voice, Amanda Mark examines the impact of the shortened settlement cycle for most securities transactions in the United States.
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“Advisers should prepare for MIS changes” – IFA
Shy-ann Arkinstall from the Independant Financial Adviser comments on Treasury’s review of Managed Investment Schemes with insights from MIntegrity in this article:
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