Regulatory update – in this ‘double-headed’ session, we will look at what to do if ASIC comes knocking, and also at licensee obligations under the reportable situation regime.
Audience: Underwriting Agencies, Business Service Members, Brokers
Presenter: Philip Hopley and Jacob Uljans
Presentation: In this session, Hall & Wilcox partners Philip Hopley and Jacob Uljans will provide a summary reminder of the obligations that AFS licensees and representatives have to identify and lodge reportable situation reports, and then move on to explain how they can best manage and respond to any inquiries and investigations by ASIC that involve them.
Time: Please note the scheduled time is AEST (Australian Eastern Standard Time = NSW Time), please ensure to add to your calendars to facilitate the correct time in your respective state.
Please ensure you have access to ZOOM to join via the link which will be sent the day before.