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Insights

Date
Industry

Who’s in control? Changes of control to a licensed entity and your obligations

12 Nov 2021
Who’s in control?  Changes of control to a licensed entity and your obligations

David Court

Partner

In this article, we examine the obligation of AFSL holders and credit licensees to determine whether there has been a change of control in their entity, and subsequently report any…...

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Employment in a COVID world

03 Nov 2021
Employment in a COVID world

Tim Dixon

Special Counsel

The way we work, engage with clients, and manage our employment obligations has changed forever as a result of the arrangements which became necessary in order for professional businesses to…...

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‘Generally speaking’ – What to look out for if you’re considering a move to a general advice model

05 Oct 2021
‘Generally speaking’ – What to look out for if you’re considering a move to a general advice model

Zoe Higgins

Special Counsel

In conducting licensee reviews for our clients, we look at their documented compliance arrangements and speak with their staff.  One recent theme to emerge from many of these interviews can…...

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Breach reporting for credit licensees: are you ready to dob yourself in?

03 Sep 2021
Breach reporting for credit licensees: are you ready to dob yourself in?

Jesse Vermiglio

Partner

  October 2021 sees the commencement of many new regulatory reforms for Australian Credit Licence (ACL) holders.  One of the reforms that will have greatest impact will be the new…...

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Liability of a Responsible Manager – Who’s responsible when things go wrong?

06 Aug 2021
Liability of a Responsible Manager – Who’s responsible when things go wrong?

David Court

Partner

  The responsible manager (RM) of a licensee plays a key role under the financial services and credit licensing regimes. However, many RMs are concerned as to their responsibilities and…...

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RSE Licensees – Changes in Financial Services Obligations for Superannuation Funds

22 Jul 2021
RSE Licensees –  Changes in Financial Services Obligations for Superannuation Funds

David Court

Partner

  A number of changes to the financial services laws have taken effect in 2021 which are of particular application to trustees of superannuation funds which are not self-managed superannuation…...

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Ongoing Fee Arrangements – Frequently Asked Questions

07 Jul 2021
Ongoing Fee Arrangements – Frequently Asked Questions

Sarah Archer

Senior Associate

  We've received a few questions from clients about the new Ongoing Fee Arrangements (OFA), so our team of lawyers and consultants have teamed up to answer some of the…...

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RG 271 – Are you ready for the new Internal Dispute Resolution (IDR) requirements?

02 Jul 2021
RG 271 – Are you ready for the new Internal Dispute Resolution (IDR) requirements?

Rachel Erlich

Senior Associate

  The Australian Securities and Investments Commission (ASIC) released Regulatory Guide 271: Internal Dispute Resolution (RG 271) on 30 July 2020.  ASIC’s internal dispute resolution (IDR) reporting requirements will come…...

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Update – Recent developments in Open Banking – the Consumer Data Right

08 Jun 2021
Update – Recent developments in Open Banking – the Consumer Data Right

Michael Mavromatis

Partner

Please find our update on Open Banking below, along with details of recent developments and upcoming changes. “Open Banking” is the application of the Consumer Data Right (CDR) in the…...

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