Meeting your obligations: The importance of AR/CAR supervision and monitoring

2024-07-04T14:34:18+10:00

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.  […]

Meeting your obligations: The importance of AR/CAR supervision and monitoring2024-07-04T14:34:18+10:00

“Savvy market moves pitch Complii as ‘new asset class’ in financial services for 2024” – The Inside Adviser

2024-03-12T10:00:57+11:00

The Inside Adviser comments on the Complii’s strategy and outlook in this article: […]

“Savvy market moves pitch Complii as ‘new asset class’ in financial services for 2024” – The Inside Adviser2024-03-12T10:00:57+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

Dirty money: Your anti-money laundering and counter-terrorism financing obligations

2023-09-14T12:47:50+10:00

As an Australian Financial Services License (AFSL) holder, you have certain obligations to help prevent financial crime — particularly when it comes to anti-money laundering (AML) and counter-terrorism financing (CTF). From cryptocurrency and social media scams to huge penalties and liabilities, this is one issue you can’t afford to overlook. […]

Dirty money: Your anti-money laundering and counter-terrorism financing obligations2023-09-14T12:47:50+10:00

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

Regulatory Changes in the Financial Services Industry: Trends for 2023

2023-05-10T12:14:47+10:00

All financial services providers must keep track of trends such as business and consumer behaviours, new technology solutions and cybersecurity threats. These patterns are key to staying relevant and competitive — but to stay compliant, financial firms need to track trends in another area: regulatory change. […]

Regulatory Changes in the Financial Services Industry: Trends for 20232023-05-10T12:14:47+10:00
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