Assured Support

Financial planning

What are 5 compliance mistakes made by AFSLs?

Compliance and risk consultancy Assured Support has pinpointed five common compliance mistakes made by financial advice firms, borne from small oversights that can quickl...

Financial planning

Taking a proactive approach to compliance frameworks

Proactive compliance risk management has become both a “regulatory necessity” and a “cornerstone of ethical excellence” for financial advice licensees, this compliance pr...

Policy & Regulation

‘No time to breathe’: Compliance professionals facing burnout

Compliance professionals working in financial services are facing burnout risk as higher workloads, coupled with the ever-changing regulation, place notable strain on sta...

Financial planning

AFSLs warned over increased scrutiny of privacy rules

AFSLs need to be prepared for enhanced compliance requirements as new privacy rules will necessitate a thorough look at reviews and processes, especially under the threat...

Policy & Regulation

Advisers need to avoid regulator 'radar'

Financial advisers need to make sure all their new regulatory requirements are in place by October to avoid any scrutiny from the regulators, even if they aren’t receivin...