Compliance National https://validator.w3.org/feed/docs/rss2.html Blog A new body for financial disputes in Australia – Australian Financial Complaints Authority (AFCA) -AUGUST 29 2017 ASIC ENFORCEMENT FIGURES ARE OUT ! AND THEY ARE SERIOUS ABOUT COMPLIANCE -AUGUST 22 2017 ASIC Banns another Financial Advisor -AUGUST 14 2017 ASIC tough on misrepresentations. -AUGUST 04 2017 Australian OTC derivatives reform: central clearing and single-sided reporting ASIC resumes issuing AFSL’s FINALLY ! ASIC CONFIRMS IT MONITORS ALL ADVERTISING.. even in Chinese UN CHECKED MARKETING MATERIAL CAN COST YOU $$$$$ ASIC’s change of stance on recovering the costs of its investigations ASIC stops misleading website advertising by ACE Insurance, Tigerair and Priceline ASIC SHOWS NO LATITUDE FOR SMSF ADVERTISERS ASIC targets some AFSL’s A new Logo for Compliance National Government announces new CIV’s Insider Trading Risk. What you need to know to avoid being caught up. Financial Advisors to get a degree or leave the sector ! ACCC issues new guidelines on Market Reviews and Testimonials Marketing IPO’s: Traps for those not properly advised ! Xmas message from Compliance National AFS licensees and representatives are now in the spotlight when it comes to client best interests. Westpac pays $127,250 to comply with infringement notice penalty ASIC clarifies its position on the use of ‘independently owned’ under s923A ASIC commences consultation on proposed guidance on crowd-sourced funding ASIC, I Have Breached The Law” – Credit Licensees May Be Subject To Mandatory Self-Reporting Rules AFSL Compliance AFSL and Authorised Representative Mentoring and Compliance Culture Services AFSL Regulatory Representation and Agency Relationship Management AFSL Regulatory Compliance Program Services Authorised Representative Application Due Diligence Reports Australian Credit Licence Compliance Authorised Representative Application Management AFSL Compliance ASIC and the importance of “Culture” at AFS institutions. ASIC announces peer review panel members Former Managing Director and former Chief Operating Officer of Hastie Services charged with conspiracy to falsify accounts Former Principal of Sherwin Financial Planners sentenced to 10 years imprisonment for fraud AFSL’s must prioritise cyber-resilience NOW ! ASIC cancels licence for disobeying requests ! ASIC investigation leads to improvements with AFSL advice processes. About Us Express Enquiry Contact Us Home Authorised Representative Compliance & Supervisory Services Queensland financial adviser banned for failing to act in clients’ best interests “The Irish Boys” arrested in financial services scam ! Financial Services Australia Update Ever wonder why ASIC is not promptly processing AFSL applications ? Applications for Authorised Representatives