ASIC Reference Checking and Information Sharing Protocol – A Mandatory Screening Process Targeting Financial Advisors and Mortgage Brokers
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As a consequence of the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry, from 1 October 2021, licensees must comply, as an obligation under their licence, with the ASIC Corporations and Credit (Reference Checking and Information Sharing Protocol) Instrument 2021/429 (the “ASIC Reference Checking Protocol“).
Posted in Corporate Law
