Compliance

2018: Year in review

by Tas Bindi • 13 Dec 2018

It has been an eventful year for brokers - and the broader financial services industry - with numerous investigations... READ MORE

by Annie Kane • 10 Dec 2018

The government has appointed a new deputy chair to the Australian Securities and Investments Commission following the... READ MORE

by Reporter • 4 Dec 2018

The corporate regulator has announced that it has cancelled the ACL and AFSL of a Melbourne-based financial services... READ MORE

by Annie Kane • 29 Nov 2018

A final reminder has been issued to credit representatives and licensees to notify the regulator of their AFCA... READ MORE

by Tas Bindi • 16 Nov 2018

AFCA’s mission is to herald “a new era of good faith in financial services”, the chair said, especially after the... READ MORE

by Annie Kane • 6 Nov 2018

As the major banks reduce their appetite for non-vanilla loans and more people look to brokers for their borrowing... READ MORE

by Annie Kane • 5 Nov 2018

The upcoming round of public hearings for the financial services royal commission will focus on misconduct and conduct... READ MORE

by Annie Kane • 19 Oct 2018

The corporate regulator is set to review financial literacy and banking programs in primary schools to assess the... READ MORE

by Annie Kane • 18 Oct 2018

The Australian Financial Complaints Authority has revealed its strategy, goals and vision, outlining that it will... READ MORE

by Tas Bindi • 5 Oct 2018

Brokers are under growing pressure to ensure their clients’ financial positions are accurately reflected in loan... READ MORE