COMPLIANCE UPDATE

18 July 2018

As a limited AFS licensee it is important to keep up to date with your ongoing compliance obligations and be aware of regulatory updates.

Here’s a reminder of some of your key compliance obligations and tips on how to comply. 

Protecting the reputation of the CPA designation is a shared responsibility. When it comes to providing financial advice you need to have the right solution in place for your practice. Holding a limited AFS licence is one of those solutions.

Do you have your limited AFS licence?

If ASIC has approved your limited AFS licence and you have not notified us, contact [email protected] with a copy of your final licence.

We have available a financial services guide and statement of advice template exclusively for members who hold a CPA Australia Public Practice Certificate and who have been granted a limited AFS licence. To request a copy, contact [email protected] with a copy of your licence.

Recorded webinars

ASIC guidance

ASIC provides a quick guide (PDF) which highlights some of the main obligations that apply when giving advice to retail clients under a limited AFS licence.

Information sheets

Other resources

Education

Related resources

Contact

If you would like to talk about your personal circumstances, email [email protected] to arrange a time for a specialist to call you.