Warning: Use of undefined constant WPE_CLUSTER_ID - assumed 'WPE_CLUSTER_ID' (this will throw an Error in a future version of PHP) in /home/customer/www/complianceforum.com.au/public_html/wp-content/mu-plugins/wpengine-common/plugin.php on line 14

Warning: session_start(): Cannot start session when headers already sent in /home/customer/www/complianceforum.com.au/public_html/wp-content/plugins/wordpress-social-login/wp-social-login.php on line 64

Warning: Creating default object from empty value in /home/customer/www/complianceforum.com.au/public_html/wp-content/plugins/wp-mail-logging/lib/vendor/redux-framework/inc/class.redux_filesystem.php on line 29

Warning: Use of undefined constant PWP_NAME - assumed 'PWP_NAME' (this will throw an Error in a future version of PHP) in /home/customer/www/complianceforum.com.au/public_html/wp-content/mu-plugins/wpengine-common/wpe-sec.php on line 63
Topic: RM on 1 AFSL and an AR on another | Compliance Forum

Anti-Money Laundering and Counter-Terrorism Financing

Home Forums Anti-Money Laundering and Counter-Terrorism Financing RM on 1 AFSL and an AR on another

This topic contains 1 reply, has 2 voices, and was last updated by PeterRM PeterRM 3 years, 11 months ago.

Viewing 2 posts - 1 through 2 (of 2 total)
  • Author
    Posts
  • #5096 Reply

    James

    Can you be an RM on 1 AFSL and a AR on another? the ASIC website said generally speaking no. I\’m an RM on an AFSL for FX and derivatives. I\’m looking at being an AR on a typical fin planning licence. Can I do this?

    #5115 Reply
    PeterRM
    PeterRM
    Member

    Did you call ASIC? Possibly a clearer answer would be provided by phone.

Viewing 2 posts - 1 through 2 (of 2 total)

Reply

Reply To: RM on 1 AFSL and an AR on another

Your information:


<a href="" title="" rel="" target=""> <blockquote cite=""> <code> <pre> <em> <strong> <del datetime=""> <ul> <ol start=""> <li> <img src="" border="" alt="" height="" width="">

  • Free answers to common Financial Services Regulation (FSR), Consumer Credit and AML/CTF issues.

    Click here to join our LinkedIn group for responsible managers and compliance professionals.
    joinUsOnLinkedIn
  • Training

    Regulatory Compliance Training for Directors, Responsible Managers and Compliance Staff

    View Courses

  • Legal Advice

    Review your AFSL or ACL disclosure documents, conduct a licensee audit and more…

    Get Legal Advice

  • Compliance support

    The HN Hub – an online platform built to support Responsible Managers and Compliance Staff

    More