Financial Services Royal Commission Implementation Roadmap August 2019 Restoring trust in Australia’s financial system © Commonwealth of Australia 2019 This publication is available for your use under a Creative Commons Attribution 3.0 Australia licence, with the exception of the Commonwealth Read More …
Tag: licence
Government Response
The Government Response into the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry February 2019 Restoring Trust in Australia’s Financial System © Commonwealth of Australia 2019 This publication is available for your use under a Creative Read More …
Professional discipline of financial advisers
Recommendation 2.7 – Reference checking and information sharing All AFSL holders should be required, as a condition of their licence, to give effect to reference checking and information–sharing protocols for financial advisers, to the same effect as now provided by Read More …
3.2 Limitations in the regulatory framework
In considering the conduct that was examined during the Commission’s hearings, it is useful to begin with three important limitations in the regulatory framework. First, as I have noted above, although most life and general insurance policies are financial products, Read More …