Complying with your LicenceAs well as complying with the conditions of your licence, under the Corporations Act 2001 you also have general obligations in relation to the provision of efficient honest and fair financial services dealings.
ASIC Compliance Guidelines
NIBA commends Licensees to the relevant sections of the ASIC website for accurate, clear and current information. Follow the links below, and if ever in doubt, go to the Road Map.
- Complying with your licence
- Changes you must tell ASIC about
- Checking details and lodging forms
- Disclosure and product disclosure statements
- Adviser training
- Dispute resolution schemes
- Codes of practice
- Representatives-appointing and ceasing
- Responsible managers-appointing and ceasing
- Relief from FSR provisions
- Reference checking directory
- Resources including FAQs, FSR Updates, New line Regulatory guides such as:
- RG 38: Hawking prohibitions
- RG 78: Breach reporting
- RG 104 and RG 146 cover:
- Training representatives including AR’s
- Compliance and risk management
- Technological and human resources
- RG 105: Responsible managers (qualifications and experience)
- RG 126:Compensation and Insurance arrangements
- RG 146: Training of financial product advisors
- RG 165:Dispute resolution
- RG 166:Financial requirements
- RG 168, RG 175 and RG182 cover:
- Product disclosure statements
- Conduct and disclosure
- Dollar disclosure
Further Compliance Information for Brokers
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