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LexisNexis Practical Guidance®
Straightforward guidance across a range of topics
- Regulation
- The Council of Financial Regulators and other regulators
Practice tips for dealing with regulators
This guidance note provides practical tips useful to practitioners when dealing with regulators in general, as well as dealing specifically with APRA, ASIC and the Australian Information Commissioner of the OAIC. It looks at:
- • the importance of good compliance culture;
- • the importance of good compliance culture;
- • how to use official guidance relating to dealing with certain regulators; and
- • how to handle investigations by certain regulators.
See Practice tips for dealing with regulators.
