AFSLs undertake more reviews, lack risk documentationBY KARREN VERGARA | TUESDAY, 18 JUN 2024 12:42PMMost AFS Licensees (AFSLs) are undertaking more reviews of their systems and processes but still lack documentation when it comes to managing risk, according to a new compliance survey. |
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Shail Singh
LEAD OMBUDSMAN INVESTMENTS AND ADVICE
AUSTRALIAN FINANCIAL COMPLAINTS AUTHORITY
AUSTRALIAN FINANCIAL COMPLAINTS AUTHORITY
To be successful as Australian Financial Complaints Authority's (AFCA) lead ombudsman for investments and advice, one requires empathy, impartiality, and rationality. Shail Singh shares how he also uses legal and financial advice expertise to help consumers, small businesses, and member firms. Karren Vergara writes.
