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Ongoing Training & Regulatory Update

Regulatory Update

Lazorne Group publishes a monthly Regulatory Update newsletter to provide you with timely information about changes impacting the financial services industry (such as proposed changes in legislation, guidance notes, policy statements and the like). We also provide information about topical issues affecting compliance in the financial markets.

Our aim is to keep you informed of recent developments and/or upcoming changes in legislation that may impact upon your business.

Firstly, we summarise the changes for you so that you need only read what is relevant and useful to you. Secondly, we provide a more descriptive overview of the regulatory change so you can better understand the amendments. We also provide you a link to the source documents in case you want even further detail.

We recognise that this information can be used for compliance training purposes i.e. used as evidence to demonstrate compliance with ongoing compliance training requirements.

Ongoing Training

We note that the holder of an AFS or ACL Licence ultimately remains responsible for all the financial services provided under its Licence. Hence, you need to ensure that representatives who provide financial services meet the required training standards on an ongoing basis. We offer ongoing compliance training to ensure that your representatives continue to be adequately trained and competent to provide financial services to your customers (from a compliance perspective).