Advice Providers

Advice businesses need a firm who understands the interplay between:

  • Requirements imposed by the law (including the Corporations Act 2001 and ASIC Act 2001)
  • Licensee standards, designed to help the licensee meet its legal obligations
  • Adviser standards, designed to help advisers meet their legal obligations (including Best Interest Obligations)
  • ASIC’s expectations in published Regulatory Guides and unpublished internal decision-making protocols
  • The Financial Adviser and Ethics Authority (FASEA) and its Code of Ethics
  • Taxation Practitioner’s Board and its various registration requirements
  • Professional Body membership requirements
  • Market Integrity Rules (for stockbroker advisers)

About us

Our team has deep experience in this space from both a legal and advice perspective.

Due to our involvement in this sector with regulators, professional associations, licensees and advisers, we have developed the HN Hub, an online portal with self-service compliance policies and practical tools, as well as live and play-on-demand online training content.

How we can help

Incidents and Breaches

Do you know the difference between an Incident and a Breach?  Do you know what to do if you have an Incident or Breach?  Watch our Expert Interview with Managing Partner, Grant Holley, to learn more.

Useful resources for Advice Providers

Webinar
FASEA Code of ethics & the code monitoring body

In this webinar, Holley Nethercote's senior associate, Rachel Erlich, and General Manager, Kath Bowler, will explore the Code of Ethics that comes into force on 1 January 2020. Each of…

Responsible Manager Training
AFSL - Responsible Manager Workshop (Introduction)

Our half day course has been designed to provide you with an overview of the role of Responsible Managers, and how they fit within the broader regulatory framework.  The sessions…

Blog update
10 easy steps to draft ‘clear, concise and effective’ Statements of Advice

Financial advisers are required to provide Statements of Advice (SOAs) that are “clear, concise and effective”. But what does this actually mean in practice? We share some tips and identify…