AFSL Compliance Specialists

Compliance National is Australia’s leading provider of robust supervisory services to the financial services industry. The CN team of advanced tertiary qualified professionals offers a complete supervisory service to ensure you remain strictly compliant with ASIC’s requirements and with the Financial Services laws of Australia. CN utilizes the latest technology to ensure that the activities of all authorised representatives is monitored and supervised 24/7.

Financial Services

Compliance is not option, its a foundation requirement for all AFSL's

Latest Blog Posts

Mar 06 2018

FINANCIAL SERVICES UPDATE

ASIC bans Perth advisor for five years ASIC – 23 February 2018 – The Australian Securities and Investments Commission (ASIC) has banned Perth-based financial adviser Philip Leake from providing financialRead More >

Jun 28 2017

ASIC, I Have Breached The Law” – Credit Licensees May Be Subject To Mandatory Self-Reporting Rules

A key difference between the ACL and AFSL regime has been that credit licensees have no obligation to report breaches.  The absence of breach reporting was an intentional feature ofRead More >

Jun 28 2017

ASIC commences consultation on proposed guidance on crowd-sourced funding

ASIC today released two consultation papers proposing guidance for public companies and intermediaries (i.e. crowd funding platform operators) to assist them in using the new crowd-sourced funding (CSF) regime commencingRead More >

Jun 28 2017

ASIC clarifies its position on the use of ‘independently owned’ under s923A

ASIC has clarified its position on the use of restricted terms relating to the independence of financial advisers after seeking external legal advice on whether phrases such as ‘independently owned’Read More >

Apr 24 2012

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