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Advice Providers

Advice Providers

Advice businesses need a firm who understands the interplay between:

  • Requirements imposed by the law (including the Corporations Act 2001 and ASIC Act 2001)
  • Licensee standards, designed to help the licensee meet its legal obligations
  • Adviser standards, designed to help advisers meet their legal obligations (including Best Interest Obligations)
  • ASIC’s expectations in published Regulatory Guides and unpublished internal decision-making protocols
  • The Financial Adviser and Ethics Authority (FASEA) and its Code of Ethics
  • Taxation Practitioner’s Board and its various registration requirements
  • Professional Body membership requirements
  • Market Integrity Rules (for stockbroker advisers)

About us

Our team has deep experience in the financial advisory space from both a legal and advice perspective.

Due to our involvement in this sector with regulators such as ASIC, professional associations such as the FPA, licensees and advisers, we have developed the HN Hub, an online portal with self-service compliance policies and practical tools, as well as live and play-on-demand online training content.  The HN Hub is a must have compliance platform for any financial advisory firm.

How we can help

Apply for or vary your Australian Financial Services Licence
Set up, maintain or improve your compliance policies and procedures
Set up or review your disclosure document templates (e.g. FSGs, SOAs and ROAs)
Draft shareholder agreements, including Corporate Authorised Representative equity agreements and AFSL-specific employment agreements
Prepare and review AML/CTF programs and procedures
Conduct Licensee Reviews and ASIC Audits for your AFSL
Participate in Compliance Committees

Breaches vs Incidents

Do you know the difference between a Breach vs Incident?  Join our HN Hub to watch the full Breach vs Incident Expert Interview with Holley Nethercote Managing Partner, Grant Holley, to learn more.

Play Advice Providers

Advising on cryptos

Financial product advice and cryptos.  What can you say?  What can’t you say?  We recently did a webinar with Caleb & Brown on this topic, which is available on the HN Hub.  We advise traditional dealer groups, industry bodies and product providers on what they can and can’t say about cryptos and crypto-powered product offerings.  We also advise crypto exchanges and the wider crypto industry on when advisory activities may stray into the realm of financial product advice, which triggers the need for an Australian Financial Services Licence.

 

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Advice Providers

Useful resources for Advice Providers

WEBINAR: Breach Reporting
WEBINAR: Breach Reporting

Identifying and reporting common incidents and breaches
In this highly practical webinar, we’ll take you step-by-step through the Incident and Breach reporting process using some common situations that we’ve come across.

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Responsible Manager Training
Responsible Manager Training

Our half-day workshop has been designed to provide Responsible Managers and compliance staff with an overview of the role of the Responsible Manager and how they fit within the broader regulatory framework.

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Fact Sheet
Fact Sheet
FACT SHEET – Should I have my own AFSL?

Does the licensing regime prevent you from being an authorised representative of an existing AFSL holder?  Are you getting tired of receiving bills from your licensee for the privilege of…

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