ARCADIA COMPLIANCE

Compliance, enforcement & strategies

When it comes to compliance with any investment, Arcadia Group offers a wide range of compliance programs aimed at ensuring that all investments made by companies, schemes and individuals are under the Corporations Act 2001.

We take pride in ensuring high levels of compliance, enforcement & strategies, and complying with their obligations. We purposely appoint individual compliance officers to look after your affairs, who will be held responsible for those legal obligations should you be given the wrong advice.

Enforcement programs offer valued feedback to support both our educative strategies where necessary, as well as yours.

If a company, scheme or individual fails to comply with the requirements of the law we can obtain an order from the Court or take legal action against a company officeholder.

Arcadia Group Ltd Registration number: 081 780 654 is licensed and regulated by the Australian Securities and Investment Commission

How ASIC regulates financial products and services

ASIC regulates Australian companies, financial markets, financial services organisations and professionals who deal and advise in investments.

Arcadia Group has been registered with ASIC since 1998 and is being monitored by ASIC to ensure we maintain the ASIC approval for our new license.

ASIC monitor financial services & businesses to ensure that they operate efficiently, honestly and fairly. These businesses typically deal in superannuation, managed investment schemes, shares and company securities, derivatives and insurance.

As the markets regulator, ASIC are responsible to ensure they adopt policies that are effectively in compliance with ASIC's legal obligations to operate fair, orderly and transparent markets. In addition they are responsible for the supervision of the day to day trading on Australia’s domestic licensed equity, derivatives and futures markets and investigate suspected breaches of the law, issue infringement notices, ban people from providing financial services, seek civil penalties from the courts, and undertake prosecutions.