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The Neves licensing framework guide is designed to help businesses understand how modern licensing works in an...
SIMON WALKER
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- First Name SIMON
- Last Name WALKER
- Gender Male
- Country Australia
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- Talents Business & Legal
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About Me
NLA’s responsibilities can be grouped into a few key areas:
Licensing and authorisation — reviewing applicants that wish to obtain licences in Neves, including assessments of ownership, key individuals, business models, financial strength and arrangements for clients.
Ongoing oversight and supervision — maintaining continuous oversight through reporting, communication and targeted reviews, with attention to the soundness of the business, the quality of governance and how clients are treated.
Guidance and expectations — setting out written expectations and practical guidance so that firms understand how to meet the standards that apply to them, including in areas such as ownership, conduct, complaint handling and risk management.
Corrective measures — taking action where serious issues arise, which may include directions, restrictions, public notices or, in severe scenarios, suspension or cancellation of a licence.