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Insights

Date
Industry

ASIC cracks down on financial advisers and licensees

09 Aug 2022
ASIC cracks down on financial advisers and licensees

Josh Wigney

Lawyer

  Financial advisers and their licensees, take note!  ASIC is following up on advisers who haven’t yet completed the financial adviser exam. For most advisers, the thought of the financial…...

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Finfluencers, referrers and discussing financial products online

08 Aug 2022
Finfluencers, referrers and discussing financial products online

Jake Huang

Lawyer

In this article, we take a look at the key issues arising when AFS licensees work with referrers and finfluencers to distribute their products or services. Who are referrers and…...

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Do I really need to do Responsible Manager (RM) Training?

04 Jul 2022
Do I really need to do Responsible Manager (RM) Training?

Samantha Hills

Special Counsel

  You’re busy.  Demand for financial services is high and there’s a skills shortage.  This leaves you with a lot to do.  On top of that, your compliance consultant is…...

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Don’t tick off the regulator: the role of the humble checklist

08 Jun 2022
Don’t tick off the regulator: the role of the humble checklist

Zoe Higgins

Special Counsel

Misleading and deceptive advertising has been an enduring area of focus for ASIC – and a minefield for the licensees involved.  We often remind our clients that ASIC regularly monitors…...

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CCIV – A new structure for collective investments

02 May 2022
CCIV – A new structure for collective investments

David Court

Partner

From 1 July 2022, a new type of investment product – the Corporate Collective Investment Vehicle (CCIV) – will be able to be established by Australian fund managers. In this…...

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Crypto regulation on the horizon: Treasury’s new consultation paper on crypto asset secondary service providers

27 Apr 2022
Crypto regulation on the horizon: Treasury’s new consultation paper on crypto asset secondary service providers

Paul Derham

Managing Partner

Last month, Treasury released a Consultation Paper outlining the Government’s proposed approach to regulating crypto assets.  The Consultation Paper sets out options for a licensing and regulatory regime for ‘crypto…...

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Consumer Data Right access expanded to ‘trusted advisers’

05 Apr 2022

Katherine Temple

Senior Associate

Important changes have been made to the Consumer Data Right (CDR) Rules that enable ‘trusted advisers’ to access consumer data via the CDR regime, including suitably accredited financial advisers, lawyers,…...

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Blockchain bricks and crypto cathedrals: a breakdown of the key terms

08 Mar 2022
Blockchain bricks and crypto cathedrals: a breakdown of the key terms

Sarah Archer

Senior Associate

There’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…...

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AFCA receives its first report card

02 Mar 2022
AFCA receives its first report card

Rachel Erlich

Senior Associate

The Australian Financial Complaints Authority (“AFCA”) has received its first report card since it commenced operations on 1 November 2018. The legislation establishing AFCA required the Minister (for Superannuation, Financial…...

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