I’ve done the math There’s no solution We’ll never last Why can’t I let go of this? — Laufey, “Promise” Making better choices We recently learnt that 98% of the new advice licensees that commenced operation in 2023 were “micro-licensees” – licenses with less than ten advisers. Despite the media attention, this is not […]
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Smarter Compliance. Learn about transitioning from traditional command-and-control models to dynamic, risk-based management strategies. Understand how leadership shapes compliance culture and the benefits of integrating compliance into business practices. Essential reading for compliance officers, financial advisors, and professionals in regulatory and risk management sectors.
Smarter Compliance. Explore the evolving Professional Indemnity Insurance
(PII) market with expert Greg Hansen. This insightful article delves into
the recent changes, challenges, and pricing dynamics in PII for Australian
Financial Services Licensees, highlighting insurer concerns, compliance
rewards, and affordability for small licensees.
Discover our practical guide, “Compliance 101: The Resistance”, tailored
for new compliance officers in the financial services sector. This expert
article provides essential strategies and insights for effectively
navigating compliance challenges and regulatory landscapes in Australia. A
must-read for those starting in compliance roles. Dive in for valuable,
Explore the risks and legalities of recording client meetings in the
financial advice sector with our Halloween-themed guide. Learn about
consent, data security, and the potential pitfalls of contradicting file
notes. A must-read for Australian financial advisers navigating best
interest duties and ethical considerations.
Our comprehensive review of ASIC’s and FSCP’s regulatory outcomes in 2023
provides financial advisers and AFSLs with invaluable insights into the
year’s enforcement activities and ethical considerations. Learn how to
navigate the evolving regulatory landscape.
Smarter Compliance: Navigate the complexities of regulating digital assets in Australia with Assured Support’s comprehensive guide. The article delves into the proposed regulatory framework, its implications for financial advisers, and how it aims to balance consumer protection with innovation. Stay ahead of the curve in this rapidly evolving landscape.
Smarter Compliance: Navigate the complexities of breach reporting with Assured Support’s insightful article. Learn about ASIC’s recent amendments, new significance thresholds, and extended reporting timeframes that aim to reduce the regulatory burden for licensees. Stay ahead of compliance changes and make informed decisions.
Explore the 2022-23 ASIC funding levy changes and their impact on financial
advisers and licensees. We delve into the ASIC’s CRIS, fee adjustments, and
the response from industry bodies, offering insights into the financial and
regulatory landscape for Australian Licensees. Understand the balance
between optimism & the realities faced by smaller firms in the evolving
financial advisory sector.
Smarter Compliance. If you’re handling client money there are a range of
rules, obligations and consequences of which you should be aware. More
worryingly, you might be handling client money without being aware of it,
or the rules and obligations you’re contravening. Let’s run through the