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Hawking Provisions

Friday 23 July 2021



Consultation 

The Australian Securities and Investment Commission (ASIC)  is consulting on the hawking provisions.

Public comment will be open until the 17 August to provide feedback. 

The changes focus on the recommendations form the royal commission into financial services to reform hawking the provisions to protect consumers. 

ASIC...

By Kwame Slusher

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Obligations

Friday 23 July 2021





Obligations
 
This week the securities regulator released protocols for the information sharing for financial advisers and mortgage brokers as well as assistance for these industries to comply with these protocols. 

In an official statement the Australian Securities and Investments Commission (ASIC) said, “The reforms will promote bette...

By Kwame Slusher

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Penalties 19 July - 23 July

Friday 23 July 2021

 


Appeal Dismissed
The Queensland Court of Appeal has the dismissed an appeal by Kirrin Gore tried to appeal the November 2020 sentencing.

In an official statement from Australian Securities and Investments Commission (ASIC), “The Court of Appeal found it was open to the trial judge to convict on the six counts of fraud and that the evidence...

By Kwame Slusher

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Podcast: Repeat

Friday 23 July 2021



Next week will see the continuation of the modern slavery series but here are the first two to cath you up!


By Kwame Slusher

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This Week in Penalties...12 July -16 July

Friday 16 July 2021

 







The Australian Securities and Investments Commission (ASIC) has concluded its investigations into it what it says is suspected criminal conduct by AMP in regard to ‘fees-for-no -service’.

“ASIC has been conducting investigations into fees for no service conduct by entities within the AMP Limited group, including the BOLR Policy co...

By Kwame Slusher

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Podcast: Improving the Lines

Friday 16 July 2021



From the Archives:

With GRC2021 Conference around the corner it is time it time to reconsider the three lines.  

In this edition of the GRC Professional Podcast, Managing Director, Naomi Burley looks at the the Institute of Internal Auditors' push for more influence on ...

By Kwame Slusher

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Recommended Reading: The Compliance Entrepreneur's Handbook

Friday 16 July 2021





Recommended Reading is Back!
 
Here is an excerpt of what we’re reading at the GRC Institute.
 
 
“As I grew in the profession and attended conferences, I saw that many compliance officers struggled with influence and persuasion in the companies where they worked. I believed I had something unique to say within the compliance profession,...

By Kwame Slusher

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Legislative Amendments

Friday 16 July 2021


 

Ending grandfathered conflicted remuneration-Click Here
 


Financial Services Royal Commission – Compensation Scheme of Last Resort-Click Here

By Kwame Slusher

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Podcast: IFCA 2020 Wrap-Up

Friday 9 July 2021


The annual conference for the International Federation of Compliamce Association (IFCA) is just around the corner--The  4 October to  8 October. 

In the mean time listen to the wrap-up of last year's IFCA Conference!




By Kwame Slusher

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Podcast: GRCI Conference 2020

Friday 9 July 2021





Hope you saved the date for the GRC 2021 Conference!

In the mean time listen to wrap-up of the GRC 2020 Conference!





By Kwame Slusher

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