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  • ASIC’s expectations in published Regulatory Guides and unpublished internal decision-making protocols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

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.

Useful resources for Advice Providers

WEBINAR: Breach Reporting – Your Questions Answered

Breach reporting commenced in October 2021 and the reality of reporting breaches under the new regime has now hit home.  In this practical webinar, we will provide an overview of…

Responsible Manager Training
Responsible Manager Training
AFSL - Responsible Manager Workshop (Introduction)

Our half day course has been designed to provide you with an overview of the role of Responsible Managers, and how they fit within the broader regulatory framework.  The sessions…

Blog update
Blog update
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…