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ASIC launches compliance check-up

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Australian Broker | 04 Apr 2012, 04:30 AM Agree 0
ASIC has tipped that it will be contacting ACL holders to check up on their Annual Compliance Certificates
  • sidbroker | 04 Apr 2012, 02:13 PM Agree 0
    This is just getting more ridulous!!!
  • qedrisk | 05 Apr 2012, 12:56 PM Agree 0
    I have been warning brokers about this for months. Note carefully, too, that the annual compliance certificate does not once specifically mention responsible lending or your "files". Your compliance obligations are bigger than this. It doesn't need to be difficult, but you just need to do *something* and if you don't know what that is, get help which, again, needn't be expensive.
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