2024 Compliance Trends Survey Report - ACL, AFSL, Wholesale

Holley Nethercote is excited to release its Compliance Trends Survey Report for 2024.

This research was conducted in February 202 across over 160 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

$2,950 + GST