FAQ
Addressing a non-compliant advice process generally involves identifying the root cause and reviewing the advice procedures.
Corrective actions may include updating advice templates, retraining advisers, improving supervision or strengthening compliance monitoring. Targeted file reviews are often conducted to confirm that improvements align with the requirements of the Corporations Act and ASIC regulatory guidance.
Every fortnight “Three Hit Tuesday” delivers thought leadership, considered analysis and insights that will help you improve your advice, more effectively manage your regulatory risks and make you better informed than your peers.
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