Wholesale investor reforms: Raising the bar

2024-05-07T14:58:26+10:00

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

Wholesale investor reforms: Raising the bar2024-05-07T14:58:26+10:00

Compliance made simple: Cutting red tape, not corners

2024-03-12T09:42:21+11:00

Compliance might sound complicated, but it doesn’t have to be. For many small licensees in the financial services sector, meeting regulatory requirements is a big concern. Often, these businesses see compliance as an expensive overhead and think they need to have long and detailed compliance policies like larger companies do. However, these fancy frameworks can [...]

Compliance made simple: Cutting red tape, not corners2024-03-12T09:42:21+11:00

Preparing for the unknown: Navigating potential changes to Retail/Wholesale client classification

2024-03-12T09:26:41+11:00

The world of financial services is rarely static. Changes may be thrust upon us whether we want them or not — and that can be both exciting and daunting. The challenge is to be prepared without wasting time, particularly on shifts that may never come to fruition, and to avoid spending too much money upfront. [...]

Preparing for the unknown: Navigating potential changes to Retail/Wholesale client classification2024-03-12T09:26:41+11:00

Keep the regulatory change transition simple to avoid adviser fatigue

2024-03-12T09:22:58+11:00

Regulatory change for advisers has, regrettably, become more of a constant than the exception. But with the minister’s QAR reforms laid before us, a concentrated period of change looms. […]

Keep the regulatory change transition simple to avoid adviser fatigue2024-03-12T09:22:58+11:00

Need help with policy management? Start here

2023-10-03T14:57:20+11:00

What makes for good policy management? It’s not just about publishing and distributing written policies to all employees. In fact, as the Australian Securities and Investments Commission (ASIC) recently highlighted, good policy management is about the implementation and supervisory controls ensuring adherence to those policies.  […]

Need help with policy management? Start here2023-10-03T14:57:20+11:00

Interview: Are you ready for annual compliance reviews?

2023-07-31T14:47:12+10:00

All Australian Financial Service Licence (AFSL) and Australia Credit Licence (ACL) holders have certain responsibilities. These obligations are listed under section 912A of the Corporations Act, as enforced by the Australian Securities and Investments Commission (ASIC).  Generally speaking, you must: Demonstrate compliance with these obligations. Ensure you have adequate financial, technical and human resources to [...]

Interview: Are you ready for annual compliance reviews?2023-07-31T14:47:12+10:00

Australian financial sector: Navigating regulatory compliance for cyber resilience

2023-07-04T11:18:31+10:00

Although cybersecurity has long been an integral part of the Australian financial sector, the idea of ‘cyber resilience’ is newer and more complicated. Instead of focusing on the tools or solutions required to protect an organisation, cyber resilience goes a step further to encompass frameworks, philosophies and applicable responsibilities.  […]

Australian financial sector: Navigating regulatory compliance for cyber resilience2023-07-04T11:18:31+10:00

ASIC design and distribution obligations: Ensuring your TMD is compliant

2023-06-08T16:39:18+10:00

In October 2021, the Australian Securities and Investments Commission (ASIC) put new product design and distribution obligations (DDOs) into effect. In May 2023, after 18 months of enforcement, ASIC released a report investigating progress in these areas. […]

ASIC design and distribution obligations: Ensuring your TMD is compliant2023-06-08T16:39:18+10:00
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