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, some of the key topics include:
ASIC outlined its 2026 surveillance and enforcement priorities for advice licensees, launched a financial complaints data dashboard and released a consultation on changes to NTA requirements for Responsible Entities
ASIC emphasised the need for strong corporate governance and launched a financial complaints data dashboard
Treasury is consulting on reforms to financial adviser education standards, the CSLR regime and reforms targeting financial product lead generation, payment service provider regulations (tranche 1), and stronger superannuation member protections
The Financial Services and Credit Panel reprimanded advisers for poor advice practices
AUSTRAC issued an updated Suspicious Matter Report guide and guidance on new compulsory examination powers and provided practical guidance on transitional rules under new AML/CTF reforms
AUSTRAC also provided practical guidance on transitional rules under new AML/CTF reforms
Treasury is consulting on reforms targeting financial product lead generation, payment service provider regulations (tranche 1), and stronger superannuation member protections
ASIC released a consultation on changes to NTA requirements for Responsible Entities
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This publication has been prepared for general guidance on matters of interest only and does not constitute professional legal advice. You should not act upon the information contained in this publication without obtaining specific professional legal advice. No representation or warranty (express or implied) is given as to the accuracy or completeness of the information contained in this publication and to the extent permitted by law, Cowell Clarke does not accept or assume any liability, responsibility or duty of care for any consequences of you or anyone else acting or refraining to act in relation on the information contained in this publication or for any decision based on it.