Transcription of Regulatory Guide 165 Licensing: Internal and external ...
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Regulatory Guide 165 Licensing: Internal and external ...
Regulatory Guide 165 licensing : Internal and external dispute resolution July 2015 About this Guide This Guide explains what AFS licensees, unlicensed product issuers, unlicensed secondary sellers, credit licensees, credit representatives, unlicensed carried over instrument lenders (unlicensed COI lenders) and securitisation bodies must do to have a dispute resolution system in place that meets ASIC s requirements. This Guide should be read in conjunction with Regulatory Guide 139 Approval and oversight of external dispute resolution schemes (RG 139). Regulatory Guide 165: licensing : Internal and external dispute resolution About ASIC Regulatory documents In administering legislation ASIC issues the following types of Regulatory documents. Consultation papers: seek feedback from stakeholders on matters ASIC is considering, such as proposed relief or proposed Regulatory guidance.
REGULATORY GUIDE 165 Licensing: Internal and external dispute resolution . July 2015 . About this guide This guide explains what AFS licensees, unlicensed product issuers,
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