Estate administration

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  • Requirements imposed by the law (including the Corporations Act 2001 and ASIC Act 2001)
  • Licensee standards, designed to help the licensee meet its legal obligations
  • Adviser standards, designed to help advisers meet their legal obligations (including Best Interest Obligations)
  • ASIC’s expectations in published Regulatory Guides and unpublished internal decision-making protocols
  • The Financial Adviser and Ethics Authority (FASEA) and its Code of Ethics
  • Taxation Practitioner’s Board and its various registration requirements
  • Professional Body membership requirements
  • Market Integrity Rules (for stockbroker advisers)

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