Search Result
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FSG relief – what’s in it for me?
29 Oct 2024From 10 July 2024, advice licensees and their corporate authorised representatives (CARs) and Authorised Representatives (ARs) have been able to take advantage of modest relief in relation to Financia
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Finfluencers, referrers and discussing financial products online
08 Aug 2022In this article, we take a look at the key issues arising when AFS licensees work with referrers and finfluencers to distribute their products or services. Who are referrers and finfluencers? Refer
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Financial Services Compliance: Save or Spend?
06 May 2021When new clients are looking to engage us for the first time, they sometimes ask us for recommendations on what our first task should be. This is obviously more likely to happen where a business do
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Federal Court dismisses ASIC’s test case against Westpac on Responsible Lending
08 Nov 2019In early August 2019, Justice Perram of the Federal Court dealt ASIC a significant blow by dismissing its case that Westpac had breached responsible lending laws. In some ways, the decision was not
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FACT SHEET: What is an AML/CTF Program?
22 May 2025This Fact Sheet has been prepared based on the future requirements of the AML/CTF regime for Tranche 2 entities that will commence 1 July 2026. An AML/CTF Program is not only a core compliance req
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FACT SHEET: What are the AML/CTF Governance Obligations?
22 May 2025This Fact Sheet has been prepared based on the future requirements of the AML/CTF regime for Tranche 2 entities that will commence 1 July 2026. As a reporting entity, you must identify the follow
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FACT SHEET: Top 5 Tips for Preparing Target Market Determinations (TMDs)
02 Nov 2022The design and distribution obligations (DDO) are designed to ensure that product issuers adopt a consumer-centric approach when designing (and distributing) products. Before distributing a product
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FACT SHEET: Top 10 Tips for a Successful AFSL Application
08 Feb 2024Here are our top 10 tips for a successful AFSL application. Organisational competency, as demonstrated by your Responsible Manager, will make or break your application. Get good legal advice a
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FACT SHEET: The AFSL Variation Process
07 Jul 2025How do I apply to vary an AFS licence? The application process is completed through ASIC’s Regulatory Portal, where you will be asked whether the application is to vary licence authorisations (i.e.
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FACT SHEET: The AFSL Application Process
07 Jul 2025Before applying for a licence, you need to know: Why are you applying? “Branding” alone won’t cut it. You need to convince ASIC that you need a licence. You may need to get legal advice