Webinar: Responding to regulator complaints and notices – critical lessons for fund managers
Critical lessons for fund managers
In our webinar, special counsel Selina Nutley and senior associate Elliott Stumm answer questions such as:
- What is the AFCA complaints process? How can you minimise the need to deal with AFCA?
- What mechanisms are available to help minimise exposure to liability for the conduct of authorised representatives?
- What should you do when you receive a notice from ASIC? When does privilege apply?
- What is best practice advertising? How should you manage ongoing compliance?
Please click below to listen now.
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