Welcome to the latest edition of our Financial Services Compliance Newsletter.
Each month, we provide key regulatory updates, compliance insights, and industry developments impacting the financial services sector. In this issue, we highlight recent action by ASIC, including orders banning a financial adviser for failing to appropriately supervise a provisional financial adviser.
Additionally, ASIC has cancelled the AFS and credit licences of several firms due to non-payment of AFCA determinations and industry levy obligations. We also offer practical guidance to help you stay informed and compliant in an evolving regulatory landscape.
Read the full newsletter here.
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