CP 333 Implementing the Royal Commission recommendations: Reference checking and information sharing

Released 19 November 2020. Comments close 29 January 2021.

This consultation paper seeks feedback on our proposed approach to implementing aspects of the law reform arising from Royal Commission Recommendations 1.6 and 2.7. These recommendations relate to the reference checking and information sharing protocol for financial advisers and mortgage brokers.

Download

• Consultation Paper 333 (PDF 505KB)
• Attachment 1 to CP 333 draft instrument (PDF 268KB)
• Attachment 2 to CP 333 draft information sheet (PDF 326KB)

Related documents

• REP 694 Response to submissions on CP 333
• RG 104 AFS licensing: Meeting the general obligations
• RG 205 Credit licensing: General conduct obligations
• INFO 126 Credit representatives
• INFO 134 Complying with your obligations if both credit licensee and AFS licensee
• INFO 229 Limited AFS licensees: Complying with your licensing obligations
• INFO 257 ASIC reference checking and information sharing protocol
• Example template reference request: Reference for a mortgage broker (125KB)
• Example template reference request: Reference for a financial adviser (389KB)