Regulation
Regulatory highlights February 2023
The hectic start to 2023 has certainly seen government policy and regulators create fireworks. Here’s our pick of news that has sparked the most attention.
Marketing in the Financial Services Industry: Harvey Norman and ASIC
The fine print on fine print. Harvey, we have a problem!
Find your Code of Practice
These codes have been developed by industry and set the standard of behaviour and operation to which they will hold themselves accountable, in order to demonstrate transparency and build trust with customers.
Superannuation regulatory update
With super funds in the throes of sending members annual statements, APRA and ASIC have directed pointed communications of their own to trustees.
What does it mean to be RG 146 Compliant?
Contrary to popular belief, the RG146 qualification is still a compliance requirement for a significant proportion of the financial services industry.
ASIC begins enforcing Royal Commission reforms
ASIC's grace period for the suite of regulatory reforms implemented in October 2021 seems to be over - and it's now 'on patrol'.
Regulatory Trends in 2022
Check out our top picks for what might keep risk and compliance leaders busy.
Whistling While You Work
In light of ASIC calling on Australian CEOs to review whistleblower policies, now is the time to ensure you comply with the rules.
Reflections on BEAR! What have we learned from banking accountability?
We take a look at BEAR to find out what lessons can be taken into the future of financial services.
FAR-out! Preparing for the new accountability regime
With the right oversight, your organisation can transition to a new era of accountability and responsible conduct.
AFSL legislation updates & what you need to know
We look at the key regulatory items contained within the government’s financial services reform bills.
Nobody Puts RG 146 in the Corner
Looking to meet your ASIC general advice compliance requirements? Our RG 146 program is a versatile and ideal choice.