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How Not to Get Sued in 2017, Advice for the AFSL & the Adviser
- Published December 13, 2016 2:53PM UTC
- Publisher Wholesale Investor
- Categories Company Updates
7th December 2016, Risk Adviser by Andy Marshall
Where do you and your advisers find the time to do it all and monitor compliance, especially considering the vast area of risks you are exposed to?
My compliance manager, during one period when I was an adviser, was a lawyer. She used to say over a post audit coffee, “Andy, I love your files. They tell such a vivid and connected story of your client’s journey. I have a question though. When do you find the time?”.
The truth was, I spent way too much time on constructing the story of the client and it was incredibly inefficient.
Where do you or your advisers (if you are an AFSL) find the time to do it and/or monitor compliance? Especially considering the vast area of risks you are exposed to.
As an AFS licensee, regulatory guides 104, 105, 165, 168 and 175 to mention a few, document the responsibilities you have to monitor. But in practical terms, is it possible to have in place what would be considered relatively robust processes relative to your peers and still fall foul of not only the regulator but also the law?
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