Reference Checking and Information Sharing Protocol

23 Feb. 2022

One-off Webinars

Samantha Hills
Partner
Reference Checking and Information Sharing Protocol

This webinar explains ASIC’s Reference Checking and Information Sharing Protocol and what it means for licensees, advisers and other staff.  It was presented by Holley Nethercote Special Counsel Sam Hills to the Stockbrokers and Investment Advisers Association (formerly the Stockbrokers and Financial Advisers Association) in February 2022.

The webinar covers:

  • how to request a reference for a prospective adviser
  • what is required when providing a reference
  • obtaining adviser consent
  • common concerns relating to issues such as audit findings and qualified privilege.

It is made accessible to HN Hub subscribers with the permission of the Stockbrokers and Investment Advisers Association.

Non-Subscriber Price

Price: $125

GST: $12.50

$137.50 inc GST

CPD Details

1.0 hours

Categories:

  • Regulatory Compliance and Consumer Protection

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