fasea

Dealing with FASEA requirements

5 March 2020

WHOLESALE VS SOPHISTICATED INVESTORS Before January 2020, a retail client that passed an individual wealth test could receive a two-year certificate from their accountant that would enable them to be classed as a 708 wholesale investor. However, in light of the Guidance Note to the FASEA Code of Ethics, a ’wholesale’ investor is no longer […]

Complii committed to sophisticated FASEA requirements

13 February 2020

Complii FinTech solutions have taken a significant step forward in the improvement of their compliance systems by fulfilling the increasingly sophisticated FASEA requirements. FASEA requirements represents not only a significant advance for Australian financial compliance, but significant opportunities for stockbrokers to ensure their compliance into the future.

WHAT ARE FASEA REQUIREMENTS?

FASEA

fasea

Dealing with FASEA requirements

Complii committed to sophisticated FASEA requirements

Search Complii

Categories

Recent Posts