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ASIC’s enforcement priorities in design and distribution: What we know from recent stop orders and Federal Court decisions
12 Nov 2024
Michael Mavromatis
PartnerReceiving a stop order or Federal Court claim relating to a licensee’s product design is extremely stressful for licensees. We should know! We have helped numerous licensees lift interim stop…...
Read moreClass actions and regulatory intervention – Two sides of the same sword?
02 Jun 2025
Anthony Jensen
Special CounselSince 1992, when class actions were enshrined in Australia’s legal framework, the link between them and regulatory interventions has been ever-present, and evolving. Having acted for parties on either side…...
Read moreResponsible Lending Obligations to be Scrapped!
25 Sep 2020
Jesse Vermiglio
PartnerThe Government has this morning announced major reforms to the National Consumer Credit regime including the scrapping of Responsible Lending Obligations (RLOs). Below is short summary of the key…...
Read moreIt’s time to dust off your conflicts of interest policy
27 Jan 2025
Josh Wigney
AssociateIn 2018, ASIC launched a crusade against poor financial advice. ASIC looked at how some of Australia’s larger banking and financial services institutions dealt with conflicts of interest between…...
Read moreAnnual Compliance Trends Survey Results Released
06 May 2025
Kath Bowler
General ManagerHolley Nethercote is excited to present our third Compliance Trends Survey Report. This survey was conducted in February 2025 across over 200 Australian financial services and Australian credit licence holders.…...
Read moreBlockchain bricks and crypto cathedrals: a breakdown of the key terms
08 Mar 2022
Sarah Archer
Special CounselThere’s a saying in improv: “Bring a brick, not a cathedral”. While improv and the wonderful world of crypto aren’t comparable, the saying is a good reminder that you don’t…...
Read moreCOVID-19 and Paying the Rent
30 Apr 2020
Tim Dixon
Special CounselCan you get rent relief for your business offices? If your offices are occupied under a commercial lease and your business has been affected by the COVID-19 pandemic, the rent…...
Read moreUnconscionable conduct and sales incentives: ASIC v Select AFSL Pty Ltd (No 2)
11 Oct 2022
Ursula Noye
Senior AssociateThe recent findings of unconscionable conduct in the case of ASIC v Select AFSL Pty Ltd (No 2) [1] relate to particularly egregious conduct, which was first uncovered by the…...
Read moreTop concerns for credit licensees and how to manage them
04 Apr 2025
Samantha Hills
PartnerWe have put together a list of some of the most common compliance concerns raised by credit licensees in our Annual Compliance Trends Survey Report and some suggestions on how…...
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