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FACT SHEET: Top 5 Tips for Preparing Target Market Determinations (TMDs)

01 Mar 2024
FACT SHEET: Top 5 Tips for Preparing Target Market Determinations (TMDs)

Michael Mavromatis

Partner

The design and distribution obligations (DDO) are designed to ensure that product issuers adopt a consumer-centric approach when designing (and distributing) products. Before distributing a product, a product issuer must…...

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What are design and distribution product governance arrangements?

29 Feb 2024
What are design and distribution product governance arrangements?

Michael Mavromatis

Partner

The 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…...

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FACT SHEET: Do I need an Australian Financial Services Licence (AFSL)?

22 Feb 2024
FACT SHEET: Do I need an Australian Financial Services Licence (AFSL)?

Frank Varga

Head of Licensing

The law says that you need an Australian Financial Services Licence (AFSL) if you are a “person” who carries on a “financial services” business in this jurisdiction.  (This article includes…...

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FACT SHEET: Key AFSL Requirements

21 Feb 2024
FACT SHEET: Key AFSL Requirements

Frank Varga

Head of Licensing

How do I get an AFSL, you ask?  Below, we outline the key requirements required for applying for and obtaining an AFSL.  If you decide to obtain an AFSL, it…...

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FACT SHEET: AFSL Costs

20 Feb 2024
FACT SHEET: AFSL Costs

Frank Varga

Head of Licensing

So, 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…...

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FACT SHEET: The AFSL Application Process

17 Feb 2024
FACT SHEET: The AFSL Application Process

Frank Varga

Head of Licensing

Before applying for a licence, you need to know: 1. Why are you applying?  “Branding” alone won’t cut it.  You need to convince ASIC that you need a licence.  You…...

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FACT SHEET – Should I have my own AFSL?

11 Feb 2024
FACT SHEET – Should I have my own AFSL?

Frank Varga

Head of Licensing

Does the licensing regime prevent you from being an authorised representative of an existing AFSL holder?  Are you getting tired of receiving bills from your licensee for the privilege of…...

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FACT SHEET: Top 10 Tips for a Successful AFSL Application

08 Feb 2024
FACT SHEET: Top 10 Tips for a Successful AFSL Application

Frank Varga

Head of Licensing

Here are our top 10 tips for a successful AFSL application. Organisational competency, as demonstrated by your Responsible Manager, will make or break your application. Get good legal advice at…...

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Our submission to Treasury’s Regulating Digital Asset Platforms Proposal Paper

08 Dec 2023
Our submission to Treasury’s Regulating Digital Asset Platforms Proposal Paper

Paul Derham

Managing Partner

Dear Director, RE: Regulating Digital Asset Platforms - Proposal Paper Thank you for the opportunity to provide feedback on Treasury’s Regulating Digital Asset Platforms Proposal Paper (the Proposal Paper). As…...

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