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Financial planning
Advisers may think they are being compliant with the regulation but for their clients, it is often communication that can cause the biggest headache in their adviser rela...
Financial planning
Those mid-sized licensees with 16–50 authorised representatives are experiencing a blind spot, according to compliance firm Assured Support, and ASIC could develop specif...
Financial planning
As ASIC looks to publish firm-level data on the internal dispute resolution regime, a compliance professional has warned it could have unintended consequences, such as un...
Financial planning
With AFCA urging financial advisers to report instances of misconduct, Assured Support has broken down the red flags to be aware of in your own business....
Financial planning
Financial services consultancy Assured Support has appointed a new chairman to its advisory board, who previously served as Count’s chair and chief executive of the FPA....
Financial planning
Learning to delegate authority and relinquish a hands-on approach is a critical step towards building a self-sustaining financial advice practice, says Assured Support....
Features
As financial advisers enter the new year, Assured Support shares eight strategies to help advice businesses thrive through focused and consistent planning....
Financial planning
Assured Support explores five tips to help financial advisers embed compliance into the heart of their business, with 2025 set to see further regulatory change....
Financial planning
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
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
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 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
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...
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Podcast
So we are now underwriting criminal scams?...
Glad to see the back of you Steve. You made financial more expensive, not more affordable as you claim, and presided ...
Completely agree Peter. The definition of 'significant change is circumstances relevant to the scope of the advice' is s...