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FMA warns Squirrel P2P Trustee for failing to obtain required assurance engagements for its custodial service from 2016 to 2020 under FA Regulations.

While third-party providers can provide a useful service, both the DIA and FMA are aware of an increasing number of reporting entities taking a view that the third-party provider “just takes care of it all” and that all CDD requirements are then met. This is not the case. Read more about outsourcing your CDD requirments.

Findings from the FMA’s review of the adequacy and effectiveness of CPA Australia’s audit regulatory systems for the period 1 July 2020 to 30 June 2021

CE Expense Disclosure Hospitality Rob Everett 1 Jul to 31 Oct 21

CE Expense Disclosure Travel Rob Everett 1 Jul to 31 Oct 21

This investor guide tells you what you need to know before investing in a new share offer

Keeping accurate records of the financial advice you provide helps maintain a relationship of transparency and trust with your clients. It also ensures you can provide evidence of how you have complied with your licensee obligations as and when required. Use this self-assessment tool to see if you’re ready to complete the record keeping section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply.