Business activity metrics must be submitted via the ASIC Regulatory Portal by 25 September 2025.

To determine whether a breach is a reportable situation, licensees are often required to conduct an investigation.

Recent DDO enforcement action is a wakeup call for licensees who are issuers of financial products to retail clients.

AFCA received over 100,000 consumer complaints in 2024–25, and despite a 4% overall decline, its CEO says the level remains unacceptably high.

ASIC found major governance, disclosure & risk management shortcomings in PC funds & expects stronger transparency, oversight & investor protection practices.

Responsible Manager to support and ensure a successful Australian Financial Services Licence application or variation.

ASIC has issued Consultation Paper 371, proposing an extension of the Credit PI Orders until 1 October 2032.

Using the ASIC logo in marketing material could mislead consumers into believing that ASIC endorses their credit services.

It's important for all licensees to be aware of the key issues ASIC will focus on for 2026.

Cuckoo Smurfing is a method of money laundering used by criminals to disguise their movements of funds across borders.

Report 805 – Falling Short: Compliance with the small amount credit contract obligations

AUSTRAC has released its Regulatory Priorities for 2025-26.

The ASIC surveillance examined the risk and performance representations made in managed fund marketing.

ASIC released a catalogue of key obligations for private credit funds, following its report on Australia's capital markets.

AFS Licensees whose advisers provide personal advice to retail clients are required to meet the standards for financial advisers.

The concept of "value transfer" has been introduced & has associated reporting implications for reporting entities.

Reporting entities should conduct an independent review after the first year of operations to ensure AML/CTF compliant.

RMs are subject to a training plan and meet regularly with the Directors of the Licensee to achieve training targets.

AFSL holders should provide representatives with clear instructions about their compliance with financial services laws.

Prohibition on hawking financial products (and credit products).