Australian Financial Services Licensees With Wholesale Clients – Compliance Responsibilities To Consider

Australian financial services licence (AFSL) holders must comply with the general licensing obligations under the Corporations Act, including: ensuring financial services are provided efficiently, honestly and fairly complying with licence conditions and financial services laws managing conflicts of interest ensuring that representatives comply with relevant licensing obligations and are adequately trained and competent maintaining competence[…]

澳洲金融服务持牌人(企业客户)- 合规责任的考量


  • 确保有效,诚实和公平地提供金融服务
  • 遵守牌照已取得授权的业务范围和金融服务法律
  • 处理利益冲突
  • 确保公司代表遵守相关牌照许可义务,并接受过充分的培训并能够胜任该岗位
  • 牌照负责人必须及时了解相关法律和 ASIC 监管政策的变化,保证持照人应有
  • 的胜任力
  • 有足够的财务,技术和人力的资源
  • 有足够的资源支持监督管理的实施
  • 确保有充足适当的风险管理体系



关于“牌照负责人” 在公司法中并没有定义,这只是ASIC使用的一个术语。在ASIC第105号的监管指南中,术语“牌照负责人”用于指由牌照申请人提名的,以达到ASIC关于胜任力要求的人员。“牌照负责人”可以是牌照申请人 / 牌照持有人



Disclaimers Checklist

When making disclaimers in information, marketing or promotional material about financial services products that will be circulated to the general public, be aware that regulatory policies and specific legal requirements apply. Regulatory Guide 234: Advertising financial products and services (including credit): Good practice guidance, issued by the Australian Securities and Investments Commission, is essential reading[…]

Service delivery during the COVID-19 pandemic

During this time,  all Know Compliance staff and management are working from their individual homes to comply with the social distancing measures.   Each home workplace is equipped with a telephone, computer (PC and/or laptop), appropriate seating and is isolated from other home activities.  Each home computer is password protected All have access to the[…]

All clients beware

Significant increase penalties for misleading statements in licence applications. Pursuant to Section 1308(8) of the Corporations Act a person must not, in connection with an application for an Australian financial services licence: make a statement that is false or misleading in a material particular knowing it to be false or misleading; omit to state any[…]

AFS Licensees – Why You Must Maintain Adequate Financial Resources

Australian Financial Services Licensees must comply with Section 912A(1)(d) Corporations Act – Financial Resources Requirements Holders of Australian financial services (AFS) licences must have sufficient financial resources at all times to provide their licensed financial services and to be able to carry out operational and regulatory compliance checking, monitoring and reporting. Section 912A(1)(d) states that[…]