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EU Final Compliance Report.pdf

final-compliance-report-life-trading-pty-ltd-april-2022.pdf

🔗 Source: download.asic.gov.au

📊 Size: 82 KB

👤 Author: deborah.bails

⬇️ Downloads: 47

Summary

ASIC's final report on Life Trading Pty Ltd's (LT) compliance with the enforceable undertaking (EU) dated 21 June 2021, states that:
- McGrathNicol Advisory was appointed as the Independent Expert (IE) on 20 July 2021.
- The IE reviewed LT's Supervisory Policies and Procedures from 1 July 2020 to 30 April 2021 and submitted its Final Report and Summary Report on 31 August 2021.
- The IE found that LT has appropriate Supervisory Policies and Procedures, but identified areas for improvement and made recommendations.
- LT notified ASIC of the recommendations it would implement by 30 September 2021 and confirmed implementation by 28 February 2022.

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Description

ASIC's final report on Life Trading Pty Ltd's (LT) compliance with the enforceable undertaking (EU) dated 21 June 2021, states that:
- McGrathNicol Advisory...

Technical Information

File Format: PDF
File Size: 82 KB
Pages: 2
Language: EN
Author: deborah.bails
Total Downloads: 47
Last Updated: 1 week ago

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