When obtaining an Australian Credit Licence (ACL), ASIC must be satisfied that the people involved with the application are fit and proper persons. ? To be classified as a fit and proper person, certain criteria must be met. In our most recent YouTube video, we clarify who a fit and proper person is and what is expected of them. ? To watch our recent video, click below. Don’t forget to subscribe to our channel so you don’t miss another video like this! ? #asic #compliance #licensee
Sophie Grace的动态
最相关的动态
-
???? Stay Compliant with ROC Filings! ???? ?? What is DIR-9 and How to File It? ?? Is your company's director disqualified? Don't worry! Filing DIR-9 can help you notify the ROC and stay on track with compliance. ? Key Highlights: ?? What is DIR-9? ?? When is it required? ?? Step-by-step filing process ?? Avoid penalties & ensure smooth operations! ?? Don't let non-compliance disrupt your business! Learn everything you need to know about DIR-9 in this simple, step-by-step guide. ?? Read Now:https://lnkd.in/dpMwvmbZ ?? #DIR9 #ROCCompliance #StayCompliant #BusinessTips #CompanyLaw #FilingMadeEasy
-
Practising Company Secretary | Consulting Editor | Author of Books on Related Party Transactions, Securities Laws | Faculty for Corporate Laws | Interests: ESG, Corp. Governance
Sharing my latest blog on demat of securities.. In relation the compulsory demat of securities, there is an interesting question – whether the said provisions are applicable to: 1. Private company which a subsidiary company of public company 2. Private company which a wholly-owned subsidiary (WOS) of public company https://lnkd.in/d-r33Y2V Readers can share the topics on which they come across practical and interpretational issues. please don't suggest MCA21-V3 & DSC technicalities, they are out of my purview ?? In due course will be writing on Related Party Transactions & Private placement of securities. #demat #companylaw #securities #compliance
-
Read this article from Forvis Mazars for a look at newly effective #SEC regulations affecting broker-dealers, including an overview of three final rules issued to date this year and updates on significant outstanding proposals.
-
-
Read this article from Forvis Mazars for a look at newly effective #SEC regulations affecting broker-dealers, including an overview of three final rules issued to date this year and updates on significant outstanding proposals.
-
-
Read this article from Forvis Mazars for a look at newly effective #SEC regulations affecting broker-dealers, including an overview of three final rules issued to date this year and updates on significant outstanding proposals.
-
-
Read this article from Forvis Mazars for a look at newly effective #SEC regulations affecting broker-dealers, including an overview of three final rules issued to date this year and updates on significant outstanding proposals.
-
-
Find out what's hot in the regulatory compliance world with the latest ?????? ???????????? ????????????????: ?? More guidance to meet SEC filing obligations ?? A compliance tip to catch cherry picking ?? Why you should avoid certain contract provisions ?? and much more... #RCW #RegulatoryCompliance #PrivateDebt #MNPI #NDAs #SEC
-
Update: SEC FAQs on de-SPAC Transactions & Confidential DRS Submissions? ? The SEC has recently updated its FAQs related to de-SPAC transactions and submission of draft registration statements (DRS). This update is a significant step forward, as EDGAR now allows co-registrants to be included in DRS submissions, simplifying the process for companies going through de-SPAC transactions. ? With this change, companies can now submit all relevant co-registrant information directly in EDGAR, ensuring more streamlined and compliant filings. ? https://lnkd.in/eNTDJJ6h ? #SPAC #CorporateLaw #SEC #DRS #deSPAC #Compliance #EDGAR #ChristyAlbeck?Christy Albeck
-
