Australian Financial Services Licensing (AFSL) Forum

Home Forums Australian Financial Services Licensing (AFSL) Forum New ASIC crackdown on gatekeepers across the financial system Re: New ASIC crackdown on gatekeepers across the financial system

#3045 Reply

Megan Jaksa
Member

Hi Andrew,

 

We are not aware of any increased activity by ASIC in the insurance broking space. ASIC has not published any enforceable undertakings in this space in 2011 and there have not been any recent relevant publications relating to insurance broking. Anecdotally, we are unaware of any increase in surveillance activity above ASIC’s usual activities.

 

We will table this question at our next informal gathering of compliance managers held here in Melbourne. If we learn anything of interest we will get back to you.

 

Author: Tim Nethercote

Co-contributor: Megan Jaksa

 

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