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Don’t tick off the regulator: the role of the humble checklist
08 Jun 2022
Zoe Higgins
Previously a Special Counsel at Holley NethercoteMisleading and deceptive advertising has been an enduring area of focus for ASIC – and a minefield for the licensees involved. We often remind our clients that ASIC regularly monitors…...
Read moreFinfluencers, referrers and discussing financial products online
08 Aug 2022
Michael Mavromatis
PartnerIn this article, we take a look at the key issues arising when AFS licensees work with referrers and finfluencers to distribute their products or services. Who are referrers and…...
Read moreASIC cracks down on financial advisers and licensees
09 Aug 2022
Josh Wigney
AssociateFinancial advisers and their licensees, take note! ASIC is following up on advisers who haven’t yet completed the financial adviser exam. For most advisers, the thought of the financial…...
Read moreTriple Beef Patties – the key ingredient to time critical advice
09 Sep 2022
Clarisse Berenger
Previously a Lawyer at Holley NethercoteProviding a client with the necessary disclosures in time critical cases can be likened to a fast-food, rush hour drive-through order, where a customer is served up with the…...
Read moreHow to be a Responsible Manager – Competence & Responsibilities
09 Nov 2022
Josh Wigney
AssociateThe Responsible Manager (RM) is one of the most important positions that an Australian Financial Services (AFS) Licensee has to maintain. They are the person (or, more likely, persons) who…...
Read moreCompliance Committees – why do we need them?
06 Mar 2023
Rachel Erlich
Special CounselThe term Compliance Committee is used in a variety of contexts in financial services. It may be a reference to a committee that is required by law, or it may…...
Read morePulling her punches? The Quality of Advice Review and Wholesale Clients
05 Apr 2023
David Court
PartnerIn recent years, there have been a number of reviews into various aspects of the regulation of the financial services industry. The wholesale client eligibility rules is one area…...
Read moreThe GDPR and Australia
01 May 2023
Vivienne Sasse
Previously a Lawyer at Holley NethercoteWhat is the GDPR? The GDPR The Regulation (EU) 2016/679 of the European Parliament and of the Council (General Data Protection Regulation) (GDPR) sets out the rules in relation to…...
Read moreBreach reporting: When do I need to report an investigation to ASIC?
05 Jun 2023
Katherine Temple
Special CounselLast month, the Australian Securities and Investments Commission (ASIC) updated its guidance on the breach reporting regime, with several amendments to Regulatory Guide 78: Breach reporting by AFS licensees and…...
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