Conflicts of interest
Can the conflicts management policy required by Prudential Standard SPS 521 Conflicts of Interest (SPS 521) jointly address the requirements of SPS 521 and ASIC Regulatory Guide 181 (RG 181) if the RSE licensee also holds an Australian Financial Service Licence?
One conflicts management policy could address the requirements of
SPS 521 and RG 181. APRA would expect the RSE Licensee to appropriately address in such a single policy any differences in the provisions and scope of
SPS 521 and RG 181 so that all the requirements of
SPS 521 are also met.
