How We Regulate

We recognise that each business is unique and will have different drivers for seeking to be regulated by the CLC.

The CLC aims to help its regulated community to achieve compliance with legal and regulatory obligations. We encourage businesses to work in new ways to meet customer needs and grow their businesses. We help businesses understand how they can meet the appropriate regulatory outcomes and discourage tick box compliance. We find this is the best way of protecting and promoting consumer protection, and ensuring consumers have choice.

We pride ourselves on having a good understanding of the businesses we regulate. Every CLC practice has a nominated Regulator Supervision Manager (RSM) who acts as the key point of contact, especially in the first year of regulation.

The RSMs help business owners and managers to become familiar with the CLC’s regulatory framework and Codes of Conduct so they can operate the business within our compliance framework.

Prospective applicants may find it helpful to take a look at the CLC regulatory frameworks which set out in more detail our approach to approving and regulating practices.

In order for CLC to process applications it will need to understand how the Practice intends to operate, and has, or knows how to, put in place the appropriate corporate policies and procedures to demonstrate to the CLC that it will act responsibly and fairly in its dealings with clients and all third parties.

Before attending a licensing meeting you may find it helpful to have prepared information to the questions in the CLC Practice Application Licensing Outcomes here.