Wholesale AFSL Compliance Obligations – What are they and how are they different to a retail AFSL?

16 Nov. 2022

Topical Webinars

Samantha Hills
Partner
Wholesale AFSL Compliance Obligations – What are they and how are they different to a retail AFSL?

Do you still need a compliance manual if you have a wholesale AFSL?  If so, what needs to be included?

In this webinar, we look at the obligations of a wholesale AFS Licensee and what its compliance manual should look like.

What's covered

  • Core obligations
    • What are they?
    • Which ones apply to wholesale AFS Licensees?
  • Other requirements that still apply to wholesale licensees
  • The implications of efficiently, honestly and fairly (and its cousins) for wholesale licences
  • What should your compliance manual look like?  How will it be different to a retail licence manual?

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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