Measures to Strengthen Financial Regulators

Recommendation 1.6 – Reference checking and information sharing for mortgage brokers Recommendation 2.7 – Reference checking and information sharing for financial advisers Recommendation 2.8 – Licensee obligations to report compliance concerns Recommendation 2.9 – Licensee obligations where misconduct by financial Read More …

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 the ABA in its ‘Financial Advice — Recruitment Read More …

3.2 Priorities

Proper governance requires setting priorities. Setting priorities requires choices. Sometimes the choice is between conflicting goals or conflicting courses of action; often the choice is about application of resources, timing or relative importance. In the present context, two different, but Read More …