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FSG relief – what’s in it for me?
29 Oct 2024
Samantha Hills
PartnerFrom 10 July 2024, advice licensees and their corporate authorised representatives (CARs) and Authorised Representatives (ARs) have been able to take advantage of modest relief in relation to Financial Services…...
Read moreQAR Tranche 1 – Fact Sheet
24 Sep 2024
Samantha Hills
PartnerDate Topic Task Comment 10 July 2024 FSG relief Make FSG readily accessible on website and cease providing link and getting consent to sharing via link, when the only financial…...
Read moreChanges to AML/CTF – what does it mean for current reporting entities?
08 Jun 2024
Naomi Fink
Special CounselApproximately 17 years after the introduction of the Australian AML/CTF regime, the government has embarked on the much-anticipated process of expanding the reach of the regime to a number of…...
Read moreIs AI a threat or opportunity for Australian Financial Services and Australian Credit Licensees, today?
01 Jun 2024
Paul Derham
Managing PartnerFor the time poor readers, here’s the TL;DR. Artificial Intelligence (AI) presents unique regulatory and other risks that need to be managed. The law in Australia today applies to AI,…...
Read moreSection 30 and Section 33 Notices – ASIC’s Power to Compel Production of Books
05 Apr 2024
Rachel Erlich
Special CounselThe Australian Securities and Investments Act 2001 (ASIC Act) gives ASIC the power to issue section 30 and section 33 notices compelling the production of certain books. Section 30 and…...
Read moreWhat happens when the applicant does not give consent?
15 Mar 2024
Ellie Khor
AssociateThe ASIC Corporations and Credit (Reference Checking and Information Sharing Protocol) Instrument 2021/429 (the Protocol) sets out the reference checking and information sharing requirements that apply to financial services licensees…...
Read moreWhat are design and distribution product governance arrangements?
29 Feb 2024
Michael Mavromatis
PartnerThe product design and distribution obligations (DDO) regime, which commenced on 5 October 2021 introduced a new approach to regulation, by moving away from relying on disclosure as the main…...
Read moreUnfair Contract Terms – Is there a new problem?
28 Feb 2024
Tim Dixon
Special CounselSince our article in November 2018, the Unfair Contracts Terms (“UCT”) regime[1] has been strengthened to apply to a much greater pool of contracts, and so some businesses which previously…...
Read moreDesign and Distribution Obligations – deferred but not forgotten. What do you need to do to prepare for the DDO regime?
23 Dec 2023
Michael Mavromatis
PartnerThe design and distribution obligations (DDO) may have been deferred for six months, but they’re not going away. Product issuers and distributors still need to prepare for the commencement of…...
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