Schedule A Free Call

Articles

Governance Team

An adviser swimming in his vault of money to reassure himself that his business is adequately capitalised.

ASIC RG 166: Financial Requirements for AFS Licensees

August 11, 2026

Understand ASIC RG 166 financial requirements for AFS licensees, including cash needs, solvency, NTA, financial monitoring and the evidence needed to demonstrate ongoing compliance.
A financial services professional calmly and skillfully managing complaints from clients

ASIC RG 271: Internal Dispute Resolution and Complaints Handling

August 11, 2026

ASIC RG 271 starts with recognising a complaint. Learn what counts as a complaint, key IDR timeframes, reporting obligations and the controls AFS licensees need to identify, record and manage complaints effectively.

Minimum Standards for Compliance Infrastructure

May 25, 2026

Explore the minimum standards for compliance infrastructure that define the baseline for defensible evidence, consistent controls, and effective oversight.

ASIC v Justin Case

May 22, 2026

ASIC v Justin Case examined the collapse of a fictional AI-driven AFSL, testing governance, adviser conduct and compliance under pressure.

What are the real financial costs of self-licensing

April 27, 2026

Self-licensing involves more than ASIC levies and insurance. The real financial cost sits across compliance infrastructure, risk exposure, and ongoing operational demands. This article breaks down the fixed, variable, and risk-based costs of holding an AFSL, and explains how scale, governance, and advice quality directly influence the true cost of operating a self-licensed advice business.
Contact details

NOTHING TO REPORT: Mandatory Internal Dispute Resolution Lodgement

February 22, 2024

ASIC IDR reporting nil submission requirements explained. Learn when you must lodge, how to submit through the ASIC Regulatory Portal, and how to stay compliant when you have no complaints to report.

A Guide to ASIC Portals

August 21, 2023

Confused about ASIC Connect vs the Regulatory Portal? This practical guide shows where to lodge, report, and manage compliance so you avoid delays and non-compliant submissions.

Step 1 of 8 - Your Role

This field is for validation purposes and should be left unchanged.

Assess your ASIC exposure

Answer a few targeted questions to identify where your compliance may not stand up under ASIC review.

Takes less than 2 minutes. No preparation required.

What best describes your role?