Regulatory Alerts2025-12-16
ASIC renews guidance on managing conflicts of interest in financial services
The Australian Securities and Investments Commission has updated Regulatory Guide 181 to provide principles-based guidance for Australian financial services licensees on managing conflicts of interest. This revision aligns the framework with current legal developments and incorporates insights from ASIC's surveillance of private markets to replace the 2004 version. The updated guide outlines specific obligations for identifying and managing conflicts, addressing feedback from a recent public consultation to simplify compliance requirements.
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