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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- ASIC’s expectations in published Regulatory Guides and unpublished internal decision-making protocols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)
About Us
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How we can help
- Apply for or vary your Australian Financial Services Licence
- Set up, maintain or improve your compliance policies and procedures
- Prepare and review AML/CTF programs and procedures
Insights
Blog Post #2
By markus.christmann
/ February 25, 2024
Lorem Ipsum is simply dummy text of the printing and typesetting industry. Lorem Ipsum has been the industry’s standard dummy text…
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Adam Powell
By markus.christmann
/ February 5, 2024
“I can’t recommend Asquith Legal service enough. Markus helped us through the power of attorney & the enduring power of…
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