Other

2023 Compliance Trends Survey Report - ACL, AFSL, Wholesale

Version 1.0 - Last updated: 28 June 2023

Holley Nethercote is excited to release our inaugural Compliance Trends Survey Report. This research was conducted in April 2023 across over 200 Australian financial services and Australian credit licensee holders.

This extensive research report covers a wide range of core obligations imposed on AFS and/or credit licensee holders, including:

  • Managing compliance obligations
  • Policies and procedures
  • Adequate resources
  • Appointing representatives
  • Complaints
  • Conflicts of interest
  • Design and distribution
  • Handling client money
  • Monitoring and supervision
  • Promotional material
  • Reporting obligations
  • Responsible Managers
  • Risk management
  • Training
  • AML/CTF

Document versions

Version Type Date
1.0 Survey 28 June 2023