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Do I really need to do Responsible Manager (RM) Training?
16 Jan 2025
Samantha Hills
PartnerYou’re busy. You have a business to run and services to deliver. On top of that, your compliance consultant is saying you need to do Responsible Manager training. Is…...
Read moreIs the end coming for the Sophisticated Investor?
17 Jan 2025
David Court
PartnerThe distinction between wholesale and retail clients is a fundamental part of the financial services laws. The continuing increase in retail client regulation over recent years and the increasing…...
Read moreCertified Wholesale – SMSFs and Accountant’s Certificates
21 Jan 2025
David Court
PartnerOne of the more popular methods used to treat investors as wholesale clients is through the use of accountant's certificates. Financial advisers and accountants need to be aware of…...
Read moreLicensing 101: The Fit and Proper requirement
10 Feb 2025
Ellie Khor
AssociateWhen applying for an AFSL, applicants must be prepared to meet the fit and proper requirement – a test that assesses competence, financial soundness, legal compliance and moral character. ASIC…...
Read moreWhy your AML/CTF Program needs to be independently reviewed regularly
18 Feb 2025
Naomi Fink
Special CounselIf you are a business that will be regulated in 2026 under Tranche 2 of the AML/CTF reforms, we can help you stay up to date as the reforms progress,…...
Read moreHigh Court to provide clarity on the meaning of Personal and General Financial Product advice
27 Aug 2020
Samantha Hills
PartnerThe High Court of Australia is set to provide clarity as to when the line will be crossed between the giving of general financial product advice and the giving of…...
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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