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APRA regulatory reporting for general insurance providers
17 Oct 2019
David Court
PartnerAre you an AFSL holder and authorised to deal in general insurance? If so, you should be aware of your obligations to provide data to APRA every six months by…...
Read moreAFCA: A fair worry
08 Oct 2019
Zoe Higgins
Previously a Special Counsel at Holley NethercoteWhen I was in my second or third year of law school, I remember having to read some EDR scheme decisions to answer the following question: “What role do considerations…...
Read more10 tips to keep your promotional material from being misleading or deceptive
07 Oct 2019
Rachel Erlich
Special CounselWhether your business provides financial services, credit services or anything else, you are legally responsible for the content of the promotional material that you publish, or otherwise make available, in…...
Read moreEstablishing an SMSF – 7 reasons to use a corporate trustee
05 Oct 2019
David Court
PartnerLike most professional advisers, we are strongly of the view that a self-managed superannuation fund ("SMSF") should have a corporate trustee. This article looks at the trustee requirements for SMSFs…...
Read moreHow to score an A+ at your next licensee compliance audit
03 Oct 2019
Paul Derham
Managing PartnerWhen did you sit your last exam? Remember the mixed feelings of anticipation and dread? You probably recall the feeling more vividly than the subject matter. Memories like that are…...
Read moreEnforceable Undertaking – What you need to know as a licensee
17 Sep 2019
Grant Holley
Co-Founder & ConsultantAn enforceable undertaking, or EU, is an undertaking offered to ASIC, by what we affectionately refer to as “the Pingee”, which sets out in writing certain actions that the Pingee…...
Read moreHow can a computer comply with the Best Interests Duty (BID)?
13 Sep 2019
Grant Holley
Co-Founder & ConsultantThe best interests duty Section 961B of the Corporations Act 2001 (Cth) (“the Act”) requires a provider of financial product advice to act in the best interests of the client…...
Read moreDirectors duties of a responsibility entity
05 Sep 2019
Samantha Hills
PartnerNeed a hand with understanding your duties as director of a responsible entity? Check out this case that made it all the way to the High Court. The case In…...
Read moreProtecting your AFSL from advisers who breach
04 Sep 2019
Samantha Hills
PartnerBeing able to sever ties with an adviser who is causing you to breach your AFSL obligations is an important consideration for licensees. AR agreements and internal auditors You should…...
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