Question

Which of the following regulator is the key direct regulator of the financial advisory industry? Select...

Which of the following regulator is the key direct regulator of the financial advisory industry?
Select one:
a. Australian Securities and Investments Commission
b. Australian Prudential Regulation Authority
c. Australian Competition and Consumer Commission
d. Financial Planning Association of Australia
e. Australian Stock Exchange

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Answer #1

The Correct option is a. Australian Securities and Investments Commission

In Australia Finacial Regulations is split mainly between Australian Prudential Regulatory AUthority and Australian Securities and Investments Commission.

Australian Securities and Investments Commission has responsibility for market integrity and consumer protection and the regulation of investment banks and finance companies.

Hence, Australian Securities and Investments Commission is the key direct regulator of the financial advisory industry

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