Asset Management

The main regulator for the financial and asset management industries is the Australian Securities and Investments Commission (ASIC). Organisations that are authorised by ASIC to provide asset management services must establish a clear compliance framework to ensure that they comply with their regulatory obligations.

This module covers the wide range of legislative obligations as well as the governmental guidelines which an organisation carrying on the business of asset management must comply with. Links to legislation, prescribed forms and regulatory guides, as well as general resources, are included throughout.

Asset Management

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