Keeping on top of the latest financial services regulatory & compliance trends?

Investing time in your professional development within a rapidly changing financial services industry is challenging. To meet that challenge, the Australian regulators weekly wrap is designed to keep you at forefront of your practice by quickly setting out the top 5 developments from the past week, analysis and practical considerations for the future.

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Thought for the future: new complaints handling requirements come into effect on 5 October 2021, and apply to both AFSL and ACL holders. Thinking about ACL holders, October 2021 is going to be quite the month in terms of increased regulation — breach reporting, complaints and DDO being the main three. Two of the three are completely new for them, so one hopes ASIC will take this into account in its regulatory engagement strategy…

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