To ensure good compliance, your policies need to be three things: up-to-date, ready-to-use and easily accessible. RegsWeb is a MIntegrity tech solution that helps you stay on top of all this and more, assisting firms in all the elements of policy management. […]
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 [...]
Policy management processes are part of everyday life for many industries, especially financial services. But that doesn’t mean the work is easy. Fast-changing legal, financial and regulatory environments demand rapid reactions — and even a single incident of non-compliance can have severe consequences. […]
