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The HN Hub has been created to support Responsible Managers and compliance officers to meet and maintain the licensee’s regulatory obligations.

We know how difficult, time consuming and costly it can be to keep up with legislative and regulatory changes.  That’s why our team of lawyers and consultants, with a wide range of skills and expertise having worked at top-tier law firms, ASIC and AFCA, have worked together to bring you this compliance portal.

The HN Hub offers regulatory training, on-demand webinars, point-in-time regulatory alerts, monthly regulatory updates, access to industry compliance forums, templates to financial services, credit and AML/CTF compliance documents and policies all on the one platform.

 

Are your policies up to date?

AreaWhat you need to knowSupporting Policy Templates on the HN HubSupporting Training Webinar on the HN Hub
Breach Reporting- The legislation is much broader and now includes ‘reportable situations’.
- Some reportable situations are “deemed” reportable – you will be reporting more frequently to ASIC.
- The regime will also apply to Australian Credit Licensees
- You have 30 days to decide if a situation is reportable, or you need to report it anyway
YesYes
Updated reference checking and information sharing- There are new requirements on recruiting licensees and referee licensees, which dictate how reference checks are to be conducted.Yes
Updated appointments policy
No
Internal Dispute Resolution (Complaints) Procedures- Response times have changed
- Definition of a complaint is much broader
- You must have a public complaints policy
- Parts of ASIC’s regulatory guide 271 are enforceable.
Yes
Yes
Design & distribution obligations- This obligation is in addition to Best Interest Duty
- Become familiar with relevant issuer Target Market Determinations (TMDs) and how they fit into the advice process, and what you need to do
YesYes
Hawking prohibitions consolidated and broadened- Outbound promotions may need to be pared back in light of the new restrictionsYes
Updated Promotional Material Policy
Yes
VIRTUAL TOUR

Cost-effective compliance support

Our online portal helps you stay on top of your regulatory, compliance and training needs.

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HN Hub subscription options include

Compliance document

Regulatory Updates

From one-off Alerts through to our monthly Tailored Regulatory Newsletter (T-REX), let us help you navigate the ever-changing regulatory landscape.
AFSL and ACL Training

Documents & Templates

Don't reinvent the wheel. Our comprehensive template library consists of hundreds of policy templates, checklists, tools and guides. And by subscribing, you will always have access to the latest templates.
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Training

Our training has specifically been designed for Responsible Managers and compliance staff. Training includes regular live webinars on topical issues, an extensive library of on demand webinars and access to industry-based forums & updates.

Subscription options for financial services businesses

Join thousands of responsible managers and compliance staff on the HN Hub.  The HN Hub offers a variety of subscription options to suit your business’ needs.

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