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ASIC’s regulatory approach means AFS licensees should distinguish three uses of AI in compliance and supervision: AI as a coverage...
ASIC RG 271 expects complaints to be acknowledged promptly, generally within 24 hours or one business day after the AFS...
ASIC RG 271 treats anonymous complaints as complaints when they express dissatisfaction about an AFS licensee, adviser, product, service or...
ASIC RG 271 treats a Google review as a complaint when it expresses dissatisfaction about an AFS licensee, adviser, product,...
ASIC RG 271 defines a complaint as an expression of dissatisfaction made to or about an AFS licensee, its products,...
ASIC treats social media comments as complaints when they express dissatisfaction about a financial firm, product, service, staff member or...
No. ASIC expects an AFS licensee’s supervision obligation to apply when a corporate authorised representative or its advisers provide financial...
Under the Corporations Act, retail or wholesale client classification determines which consumer protection obligations apply to an AFS licensee. Correct...
Under the Corporations Act, a client’s classification as retail or wholesale can change if the facts supporting the classification change...