Posts tagged Bannings
What was and what will be: Let's talk some more about compliance

We previously wrote about ASIC's 2018 enforcement activity, and with the publication of ASIC's second-half report, we thought it would be a great opportunity to take stock of what else occurred last year. Depending on your perspective, you may find it alarming, depressing or thrilling; in any event, it will to help you assess whether you are, or are likely to, meet their expectations.  In summary, ASIC will continue their focus on ‘gatekeepers’ to ensure that they are conducting themselves in a manner consistent with the law, professional standards and community expectations. In the Shadow of the Royal Commission, ASIC have reiterated that they will continue to take action against any who do not meet these standards. This article will explore their successes and their intentions for 2018.

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