For financial service professionals - An overview

For financial service professionals

Cross border recognition: Facilitating access to overseas markets and financial services, IR 08-15, 16 June 2008
The consultation paper invites comment on proposals for cross border recognition of financial markets, financial services and disclosure about investments.
Changes to PDS reporting requirements
From 1 July 2008, there will be a change to the requirement to tell us that a Product Disclosure Statement (PDS), or Supplementary PDS, is in use.
Facilitating online financial services disclosures, IR 08-12, 2 April 2008
We have released a Consultation Paper proposing to facilitate disclosure of financial services information through email and the internet as part of the Retail Investor Taskforce work to improve access to such information.
ASIC issues report on relief applications decided between September to November 2007, IR 08-11, 1 April 2008
We have released a report outlining our recent decisions on applications for relief from the corporate finance, financial services and managed investment provisions of the Corporations Act between 1 September and 30 November 2007.
Reminder to AFS licensees: compensation requirements commence on July 1, IR 08-10, 28 March 2008
Refinancing in response to financial stress, 08-53, 13 March 2008

Licensing	How to apply for an AFS licence. Varying your licence. Cancelling your licence.
Compliance	Your ongoing obligations as an AFS licensee including business requirements, conduct, disclosure, training and dispute resolution. Changes you must tell us about. How to lodge and check your details online.
Relief	How to apply for relief from the law. ASIC's policy and reports on relief. Class order relief by topic.
Resources	Resources for financial services professionals including: Road map - index of financial services documents Frequently asked questions Reference checking directory Industry associations eNewsletters Policies, guides, codes and legislation Class orders and pro formas Searching our registers for details of licensees, authorised reps, disclosure documents and more
More about	Credit and debt collection How to lodge unclaimed money returns ASIC liaison with stakeholders

ASIC Website: Printed 07/04/2008

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