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 finplan@cpaaustralia.com.au 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 finplan@cpaaustralia.com.au 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 finplan@cpaaustralia.com.au to arrange a time for a specialist to call you.