Keyword Analysis & Research: asic reference checking


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Frequently Asked Questions

What is the ASIC reference checking protocol?

ASIC has made the ASIC reference checking and information sharing protocol (ASIC Protocol) that will give effect to the Financial Services Royal Commission’s recommendations to improve reference checking in the financial advice and mortgage broking industries.

What are the ASIC licensing checklists?

The checklists prompt you as either a recruiting licensee or referee licensee to take certain steps to help you comply with your reference checking and information sharing obligations – they do not provide a complete list of the obligations that apply to licensees under the ASIC protocol.

What records do I need to keep to comply with ASIC?

The types of records you must keep include: complaints received about the reference checking process. Keeping these records will help you comply with the ASIC protocol. ASIC will also be able to monitor whether you are undertaking reference checking in a timely, efficient and compliant manner.

What is an ASIC approved information broker?

ASIC approved Information Brokers provide information for reference checking purposes. Australian Financial Security Authority (AFSA) is the government agency that administrates and regulates the personal insolvency system in Australia and operates the bankruptcy registry.


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