by Kit Legal | Oct 27, 2020 | AFSL
Prepared by Catherine Evans We refer to the Financial Planners & Advisers Code of Ethics 2019 Guide released for consultation by FASEA on 5 October 2020 (Guide) and welcome the opportunity to make a submission on the Guide. Kit Legal is a specialist financial...
by Kit Legal | Oct 21, 2020 | AFSL, KitLegal
Prepared by Rosie Jervis. The conviction of former Financial Planner Sam Henderson for charges related to dishonest conduct and defective disclosures is a reminder of the importance of fact checking all information provided to the client, both in...
by Kit Legal | Oct 21, 2020 | AFSL, AML, KitLegal
Prepared by Rosie Jervis. AUSTRAC has confirmed its expectations that entities must do more than simply report the suspicious matters they identify, they must also manage the risks identified. AUSTRAC’s CEO states that there...
by Kit Legal | Oct 18, 2020 | AFSL, KitLegal
Prepared by Rosie Jervis ASIC’s latest enforcement activity report ASIC Report 666 ASIC enforcement update January to June 2020 (REP 666) , released on 22 September 2020, demonstrates that the regulator remains committed to continuing its enforcement...
by Kit Legal | Oct 14, 2020 | AFSL, AML, Credit, Fintech, KitLegal, Privacy
We’ve taken a new approach to recruitment at Kit. In the past when looking at the A(ttitude), S(kills), K(nowledge) profile of a potential new team member we have focused on the K; do they have specialised and specific financial services regulatory compliance...
