TITLE

An A+ compliance audit

AUTHOR(S)
Derham, Paul
PUB. DATE
March 2007
SOURCE
Money Management;3/29/2007 Practice Management, Vol. 21, p14
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
The article offers tips for financial services companies on how to pass the compliance audit in Australia. The author suggests that these companies should see to it that they are complying with their obligations as stipulated by the Australian Securities and Investments Commission's (ASIC) policy. It is also important for the business to notify the ASIC if changes occur within the business. It is also significant to ensure that the written processes reflect the actual happening in the business.
ACCESSION #
24751710

 

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