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CASE INSIGHT

Australian Securities and Investments Commission in the matter of NSG Services Pty Ltd v NSG Services Pty Ltd [2017] FCA 345

In ASIC v NSG Services Pty Ltd [2017] FCA 345, the Federal Court found repeated failures to comply with the best-interests and appropriate-advice obligations. The judgment also highlights the significance of external compliance reports, including Assured Support reviews, where identified deficiencies are not properly implemented or remediated.
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CASE INSIGHT

Australian Securities and Investments Commission v Financial Circle Pty Ltd [2018] FCA 1644

The Federal Court’s decision in *ASIC v Financial Circle Pty Ltd* [2018] FCA 1644 highlights serious failures in financial advice, conflicts management and licensee supervision. Sean Graham of Assured Support provided expert evidence on the adequacy of Financial Circle’s compliance arrangements.
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Step 1 of 8 - Your Role

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Assess your ASIC exposure

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

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