Dear ASIC: How to Respond to a Regulatory Notice

How Licensees became underwriters of investment returns – and why Shield and First Guardian may finally change that. The adviser doesn’t manage the money… The fund manager makes the investment decisions… The research house gives it a “Favourable” rating… The platform conducts due diligence before hosting it… The trustee / responsible entity signs it off…

In a recent article, Cristean offers guidance on effectively addressing regulatory notices while ensuring your business remains well-prepared.

The advice industry has a key opportunity to strengthen ties with regulators. The article highlights how revisiting ASIC’s mission and prioritising consumer protection and public interest can pave the way for improved regulatory relationships.