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Are you one of the 89% of the Licensee population who hasn’t lodged a breach report to ASIC?
Compliance obligations, Breach Reporting, ASIC, AFSL Tangelo Team Compliance obligations, Breach Reporting, ASIC, AFSL Tangelo Team

Are you one of the 89% of the Licensee population who hasn’t lodged a breach report to ASIC?

ASIC’s Report 775 released on 31 October shows that only 11% of licensees have lodged a report. This is a surprisingly low number and suggests that some licensees may not have in place the systems and processes required to detect and report breaches. Do you?

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Government announces QAR response
Quality of Advice Review, AFSL, Financial Advice Practices, Compliance obligations Tangelo Team Quality of Advice Review, AFSL, Financial Advice Practices, Compliance obligations Tangelo Team

Government announces QAR response

Conrad Travers shares his thoughts about Minister Stephen Jones today’s announcements in mid June 2023 regarding the government’s response to the Quality of Advice Review (QAR).

A summary of the government’s response; assuming this passes the legislative process:

  • Safe harbour removed from BID.

  • Ongoing fee renewal (FDS) removed and fee consent to be consolidated in one industry wide form.

  • SOA replaced with "fit for purpose" advice record

  • Wholesale warnings to come in

  • Consent requirements for life, general and CCI

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“I need technology to solve inefficiencies…I think?”
Case Study, Financial Advice Practices Tangelo Team Case Study, Financial Advice Practices Tangelo Team

“I need technology to solve inefficiencies…I think?”

We worked with a fantastic one adviser practice struggling with advice process, documentation and the value provided for clients.

Attempts to get guidance from their licensee and turning to a technology solution to generate filenotes quicker failed, as neither option was customized nor getting to the root of their problems.

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Advice complaints on the decline but ‘getting more complex’: AFCA
Tangelo in the media, Financial Advice Practices, AFSLs, QAR, Quality of Advice Review, Regulatory Reform Tangelo Team Tangelo in the media, Financial Advice Practices, AFSLs, QAR, Quality of Advice Review, Regulatory Reform Tangelo Team

Advice complaints on the decline but ‘getting more complex’: AFCA

Tangelo Advice Consulting’s Conrad Travers was quoted in Money Management’s coverage of discussions at the FAAA’s 2023 United Association Roadshow in May 2023.

“Fellow panelist Conrad Travers, director and principal consultant of Tangelo Consulting, believed it was important in all this to make the actual advice the hero.

He said: “We need to balance out the efficiency you’re going to get with making sure the advice is actually clearly provided to the client. I would recommend new clients, even if they don’t ask for it, give them a simple summary of the advice. “It could be just five pages, [but] make the advice really clear — what are you recommending? Why are you recommending it? What are the next steps for the client?” He agreed with Singh that the client file was just as important as an actual advice document. “You’re probably sick of hearing of compliance about the file notes, but it’s going to become even more important. “Licensees will need to provide guardrails to advisers to explain to them how to get this win while protecting themselves but also treating the client with respect with a nice, simple summary of the advice,” he said. “

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