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Advice
Sean Graham
Finance Journalist
Finance Journalist. Advocate. Presenter. 20+ years in financial services law, compliance and risk management. Passionate about advice, reg-tech, professionalism, culture and conduct.
Sean Graham results
ASIC’s successful case against the rogue “licensee for hire” serves as a timely reminder of what can happen when AFSLs aren’t on top of their compliance responsibilities. Here are ten tips to avoiding the same fate.
As romantic as it may be to proclaim the emergence of an advice profession and to suggest that a ‘good advice’ duty is a panacea for systemic failures, the retreat of institutional licensees from advice is not necessarily evidence of our capacity for self-regulation.
