Peer reviewing the SOA
cinnamon pow2025-05-21T15:07:33+10:00Peer reviewing the SOA to ensure the advice is clearly communicated. Amanda Mark provides advice in this recent article.
Meeting your obligations: The importance of AR/CAR supervision and monitoring
Cinnamon Pow2024-07-04T14:34:18+10:00A 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. […]
Keep the regulatory change transition simple to avoid adviser fatigue
Amanda Mark2024-03-12T09:22:58+11:00Regulatory 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. […]