Australian Financial Complaints Authority (AFCA) Transition and Complaints Handling Procedures
One of the key processes by which ethical conduct can be encouraged is by having a robust and transparent complaints handling program, which avoids the need for external agencies and legal action. However, occasionally the need arises to use an external dispute resolution (EDR) body, where the complaint cannot be resolved internally.
Gatekeepers such as Responsible Entities (RE’s) and custodians play a crucial role in ensuring the overall health of the financial services industry, and the custody of assets is a critical function. Without appropriate safeguards by the asset holders, there is a potential threat to client assets and this reflects on the level of investor trust and confidence which is subsequently placed on them.
This paper discusses the key governance and strategic reasons why non-government schools need to comply with the NDB Scheme as at 22 February 2018. The Paper also explains how schools must develope a well-articulated complaints handling proess to comply with the APPs.
This discusses the key governance and strategic reasons why your organisation should care about complying with the NDB Scheme come February next year. The Paper explains how organisations should use recent OAIC guidance, how regulators, including ASIC, the ASX and APRA are addressing the issue of data security and what practical steps you should be taking now to comply with the NDB Scheme.
This Policy Management Maturity Self Assessment tool has been developed to assist organisations to identify the maturity of their policy management systems. Once you have completed the questionnaire you will be provided with a notional maturity rating. This survey takes approximately 10 minutes to complete.
This article examines the emergence of risk management as the governance tool of choice for Australia’s regulators and the key challenges facing the Community Housing Sector in implementing risk management systems effectively. It provides an overview of the ISO AS/NZ 31000 International Risk Management Standard and asks ‘What does ISO 31000 mean for Community Housing Providers?