We can help you with COVID-19 related business and legal challenges. Click here to visit our COVID-19 HUB with our latest updates and resources

Webinar: Responding to regulator complaints and notices – critical lessons for fund managers

Critical lessons for fund managers

November 2020

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.