With so much regulation, growing in complexity and volume As regulations grow more complex, compliance can feel like a costly burden. But with technology, compliance management can be a growth driver, turning compliance into a competitive advantage that helps win and retain business. For compliance officers, supporting firm growth while managing rising risks like insider […]
Read moreCompliance leaders are at the center of a transformational time in regulatory compliance and risk management.
This article provides insights as to how Compliance technology can help stay on top.
From cost centre to growth lever.
Once thought of as a cost centre, compliance is increasingly seen as an asset that can drive
Read moreListen to SmallCAP podcast about Complii FinTech Solutions (ASX: CF1) achieving maiden profit, and continuing growth (w/ Craig Mason)
Complii FinTech Solutions (ASX: CF1) executive chairman Craig Mason joins Small Caps to discuss the company’s strategy for continuing its upward momentum through acquisitions of complementary technology and organic growth via ongoing
Read moreQ&A recording by MST Financial with Craig Mason.
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Read moreExecutive Chairman Craig Mason provides an overview of Complii’s digital platform for centric workflows for AFSL compliance (Stockbroker/Financial Planner/Adviser), capital raising and operational efficiencies its competitive advantages & growth strategy.
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WHOLESALE VS SOPHISTICATED INVESTORS
Before January 2020, a retail client that passed an individual wealth test could receive a two-year certificate from their accountant that would enable them to be classed as a 708 wholesale investor.
However, in light of the Guidance Note to the FASEA Code of Ethics, a ’wholesale’ investor
Read moreComplii FinTech solutions have taken a significant step forward in the improvement of their compliance systems by fulfilling the increasingly sophisticated FASEA requirements. FASEA requirements represents not only a significant advance for Australian financial compliance, but significant opportunities for stockbrokers to ensure their compliance into the future.
WHAT ARE FASEA REQUIREMENTS?
FASEA
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