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To apologise, or not to apologise – that is the question
25 Sep 2025
Anthony Jensen
Special CounselImagine: Major news outlets have just published damaging allegations of serious and systemic misconduct by your business, potentially resulting in significant losses by your customers. To make matters worse, the…...
Read moreSo, you operate your small business through a company. Do you understand how it must operate and what is required of you?
17 Nov 2025
Tim Dixon
Special CounselAre you a sole director of a company through which you operate your business or are you a co-director of a family-owned business with your spouse or partner? It is…...
Read moreServices Agreements in financial services. What are the essentials?
05 Nov 2025
Alison Rees
Senior AssociateNo doubt you will be aware of the alarming number of high-profile Federal Court proceedings commenced this year that deal with AFSL holders monitoring and supervising their service providers (or…...
Read more‘Generally speaking’ – What to look out for if you’re considering a move to a general advice model
05 Oct 2021
Zoe Higgins
Previously a Special Counsel at Holley NethercoteIn conducting licensee reviews for our clients, we look at their documented compliance arrangements and speak with their staff. One recent theme to emerge from many of these interviews can…...
Read moreIncreased Competition Scrutiny in the Financial Services Sector by the ACCC
02 Mar 2021
Grant Holley
Co-Founder & ConsultantThe role of the ACCC in the financial services sector has grown since the last time we explored its involvement back in 2012. Review of the Financial Services Sector Productivity…...
Read moreResponsible Managers and the Key Person Condition – The Consequences
20 Jan 2021
Frank Varga
Head of LicensingWe have previously discussed what does it mean to be a Responsible Manager? To recap, Section 912A of the Corporations Act, which sets out the key obligations of an AFS…...
Read moreCurrent ASIC trends in AFSL and ACL applications and variations
05 Jul 2019
Frank Varga
Head of LicensingSome of you reading may already hold a licence issued by ASIC, be it an AFSL, an ACL or both. If you’re not looking to set up a new business…...
Read moreI Want to Buy an AFSL
12 Oct 2020
Frank Varga
Head of Licensing“Do you have an AFSL that we can buy?” This is a regular query that we receive which results in a lengthy response. Buying an Australian Financial Services Licence…...
Read moreA new AFS licensing regime for Foreign Financial Service Providers
31 Mar 2020
Sarah Archer
Special CounselForeign financial service providers will be subject to a new regulatory regime from 1 April 2020, which will require a number of previously exempt foreign financial service providers (FFSPs) to…...
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