🇦🇺Australia

ASIC Compliance Breaches in IPS

1 verified sources

Definition

Failure to properly document and update IPS as required under SIS Act exposes firms to regulatory penalties for inadequate investment strategies.

Key Findings

  • Financial Impact: AUD 50,000+ fine per breach (typical ASIC civil penalty)
  • Frequency: Per audit failure or member complaint
  • Root Cause: Manual IPS processes lack systematic review of liquidity, diversification and cash flow requirements

Why This Matters

The Pitch: Investment advice firms in Australia 🇦🇺 waste AUD 50,000+ annually on ASIC fines for IPS failures. Automation of IPS creation eliminates this risk.

Affected Stakeholders

Investment Advisers, Compliance Officers, Fund Trustees

Deep Analysis (Premium)

Financial Impact

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Current Workarounds

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Methodology & Sources

Data collected via OSINT from regulatory filings, industry audits, and verified case studies.

Evidence Sources:

Related Business Risks

Poor Investment Returns from IPS Gaps

1-2% annual return shortfall (e.g., AUD 10,000-20,000 per AUD 1M portfolio)

ASIC Brochure Non-Delivery Fines

AUD 11,100 - 2,210,000 per breach (infringement notices); up to AUD 1.11M civil penalties for corporations

Manual Brochure Preparation Labour Costs

AUD 4,000 - 8,000 per brochure (40 hours at AUD 100-200/hr compliance lawyer rate)

Client Acquisition Delays from Brochure Friction

2-5% revenue loss from delayed client onboarding (industry standard for compliance friction)

ASIC Advertising Compliance Fines

AUD 50,000+ civil penalties per breach; 20-40 hours/month legal review; licence condition costs AUD 10,000-20,000 annually

Meta Financial Services Ad Verification Penalties

AUD 10,000-50,000/month lost ad spend; 10-20 hours setup/verification per campaign

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