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Insights

Date
Industry

Responsible Managers and the Key Person Condition – The Consequences

20 Jan 2021
Responsible Managers and the Key Person Condition – The Consequences

Frank Varga

Head of Licensing

We have previously discussed what does it mean to be a Responsible Manager? To recap, Section 912A of the Corporations Act, which sets out the key obligations of an AFS…...

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Avoiding a successful Unfair Dismissal claim – Some hints and tips

15 Dec 2020
Avoiding a successful Unfair Dismissal claim  – Some hints and tips

Tim Dixon

Special Counsel

It is said that the most valuable asset of a business can be its employees.  Whilst that is usually true, from time to time it becomes necessary, for the good…...

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New Breach Reporting Regime: as simple as assembling a springless trampoline

08 Dec 2020
New Breach Reporting Regime: as simple as assembling a springless trampoline

Paul Derham

Partner

After browsing the recently-tabled 153-page Financial Sector Reform Bill, I was struck by the irony of Hayne’s comments in his Interim Report: Should the existing law be administered or enforced…...

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ASIC’s Product Intervention Power – How does it work?

01 Dec 2020
ASIC’s Product Intervention Power – How does it work?

Rachel Erlich

Senior Associate

Since 6 April 2019, ASIC has had the power to proactively intervene in relation to a financial or credit product (“product”) or class of products to reduce the risk of…...

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The Dangers of Ignoring Client Vulnerability

05 Nov 2020
The Dangers of Ignoring Client Vulnerability

Paul Derham

Partner

  Chances are, you’re reading this article on an electronic device.  You may have used the same device to video-chat with others, message your team and create or send documents…...

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All Over – the Business impact after COVID-19

21 Oct 2020
All Over – the Business impact after COVID-19

Grant Holley

Managing Partner

We are all ‘over COVID’, but are we ‘all over’ the business law issues likely to arise when COVID-19 is all over? Our objective with Commercial Corner is to address…...

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I Want to Buy an AFSL

12 Oct 2020
I Want to Buy an AFSL

Frank Varga

Head of Licensing

  “Do you have an AFSL that we can buy?”  This is a regular query that we receive which results in a lengthy response. Buying an Australian Financial Services Licence…...

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We all know “fair’s fair”; but what is fair?

05 Oct 2020
We all know “fair’s fair”; but what is fair?

Grant Holley

Managing Partner

It is a legitimate question; and an important one if you are in the financial services sector. The Macquarie dictionary relevantly defines it as “free from bias, dishonesty, or injustice”…...

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Does your Organisation have a strong enough “Customer Voice”?

30 Sep 2020
Does your Organisation have a strong enough “Customer Voice”?

Jesse Vermiglio

Partner

You’ve no doubt heard it on multiple occasions, we live in extraordinary times.  Like so many other industries, the COVID-19 pandemic has brought significant challenges for financial services businesses.  This…...

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