The Australian Financial Adviser Standards and Ethics Authority (FASEA) is responsible for overseeing the professional standards for the financial advice sector. As part of multiple changes set forth in the Corporations Act 2001 (regulated by ASIC) for the industry, a portion is in relation to the education that financial advisors must have to participate in the industry.
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Know Your Risk
The MyComplianceOffice platform provides a unified approach to Conduct Risk. Identify and mitigate potential conflicts from the activities of employees, third parties and the company.
Know Your Employee
Know Your Third Party
Know Your Transactions
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Regulatory Concerns
Learn more about the most current regulatory issues and their impact on organizations like yours.
