by GRC Essentials | Sep 8, 2022 | Uncategorized
Overview On 11 March 2022, the government released their final terms of reference for the upcoming Quality of Advice Review, with the report to be provided by 16 December 2022. The review is being conducted in response to Recommendation 2.3, 2.5, and 2.6 of the Haynes...
by GRC Essentials | Sep 2, 2022 | Uncategorized
The following is a guide to help you prepare your certified documents. A certified document is a copy of an important document that needs to be certified as a true copy of the original document by a person authorised to do so. At certain stages of the client...
by GRC Essentials | Aug 26, 2022 | Uncategorized
Overview In 2019, ASIC released a significant update to Regulator Guide 97 Disclosing Fees and Costs in PDS and Periodic Statements. This was aimed at achieving better outcomes for consumers by providing greater clarity on disclosure obligations for product issuers of...
by GRC Essentials | Aug 5, 2022 | Uncategorized
What’s New at ASIC in 2022 There are a number of changes that have been released by ASIC this year. Some key changes are summarised for you below. If you would like more information about anything you read here, please either contact GRC Essentials or refer to...
by GRC Essentials | Jul 27, 2022 | Uncategorized
OVERVIEW AUSTRAC has released a proposed guidance on source of funds and source of wealth document. The document goes into depth about the AML/CTF obligation to determine the source of funds and source of wealth for high-risk clients, PEPs, and trigger events....
by GRC Essentials | Jul 26, 2022 | Uncategorized
OVERVIEW On 22 February 2022, a new law was passed establishing the company structure known as a “corporate collective investment vehicle” (CCIV) and will be included in the Corporations Act from 1 July 2022. The CCIV is an alternative investment vehicle to manage...
