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Currently trending: Interim stop orders – ASIC’s focus on design and distribution
07 Jul 2023
Josh Wigney
AssociateWhen we think of trending, we think of what’s popular on Twitter or TikTok, and these trends generally don’t last longer than a couple of days to a week. When…...
Read moreNew penalties for Unfair Contract Terms call for an immediate review of your Standard Form Contracts
09 Aug 2023
Alison Rees
Senior AssociateOn 9 November 2023, a substantial expansion of the unfair contract terms laws (the UCT laws) in the Australian Consumer Law (ACL) and the Australian Securities and Investments Commission…...
Read moreWhat are the compliance requirements for regulated managed investment schemes?
05 Sep 2023
Samantha Hills
PartnerIn our previous article, Managed investment schemes and when they must be registered, we looked at the definition of managed investment schemes, and what distinguishes a registered from an unregistered…...
Read moreAnybody home? The importance of checking whether your corporate clients have been deregistered
17 Oct 2023
Ellie Khor
AssociateThere is no express obligation for a financial services provider to monitor its client lists for deregistered companies. However, the recent case of ASIC v Westpac [2022] FCA 515…...
Read moreDo I need an AML Licence in Australia?
24 Nov 2023
Rachel Erlich
Special Counsel“Do I need an AML Licence in Australia?” is a commonly asked question. You might be surprised to learn that there is in fact no such thing as an Australian…...
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…...
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 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 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…...
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