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How to stay out of trouble? Key risks and lessons for Responsible Managers
01 Sep 2025
Ellie Khor
AssociateUnlike a director or officer, a Responsible Manager (“RM”) is not a legal concept. The term does not exist in the Corporations Act 2001 (“the Act”). It is a tool…...
Read moreRetail vs Wholesale Clients – Regulatory Concerns and Responses
19 Aug 2025
David Court
PartnerWhile there have been some changes to the wholesale client eligibility criteria since the FSR regime commenced in 2004, there has been little recent appetite from regulators or the Government…...
Read moreUnprecedented wake-up call for AML/CTF in pubs & clubs: AUSTRAC sues Mounties
11 Aug 2025
Anthony Jensen
Special CounselKey takeaways: First AUSTRAC civil penalty proceeding brought against a pubs & clubs business, after ~5 years of putting the industry on notice Case stems from alleged failure to properly…...
Read moreBuy Now Pay Later reforms have commenced: what does this mean for you?
04 Aug 2025
Katherine Temple
Special CounselBuy Now Pay Later (BNPL) providers are now regulated under the National Consumer Credit Protection Act 2009 (National Credit Act).[1] So, what do these reforms mean for the BNPL industry?…...
Read moreMission Impossible? Cybersecurity and Privacy for AFS Licensees
04 Aug 2025
Tali Borowick
Law GraduateWe are now over halfway into 2025, and the important mission (should you choose to accept) continues to linger: how does your financial services firm manage its cybersecurity and privacy…...
Read moreBan on conflicted remuneration for mortgage brokers and intermediaries – here to stay
21 Jul 2025
Rachel Erlich
Special CounselIn February 2020, the Financial Sector Reform (Hayne Royal Commission Response – Protecting Consumers (2019 Measures) Act 2020 (Act) passed both Houses of Parliament and received Royal Assent. The Act…...
Read moreFACT SHEET: The AFSL Variation Process
07 Jul 2025
Frank Varga
Head of LicensingHow do I apply to vary an AFS licence? The application process is completed through ASIC’s Regulatory Portal, where you will be asked whether the application is to vary licence…...
Read moreFACT SHEET: AFSL Costs
07 Jul 2025
Frank Varga
Head of LicensingSo, you think you’re ready to apply for your own AFSL. What are the costs should you be prepared for? Preparing You can attempt to prepare and submit your own…...
Read moreFACT SHEET: The AFSL Application Process
07 Jul 2025
Frank Varga
Head of LicensingBefore applying for a licence, you need to know: Why are you applying? “Branding” alone won’t cut it. You need to convince ASIC that you need a licence. You may…...
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