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Insights

Date
Industry

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

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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How to write a shorter SoA: The Power of Pruning!

03 Jun 2021
How to write a shorter SoA: The Power of Pruning!

Clarisse Berenger

Lawyer

  One of the general fundamentals of gardening, is that to nurture a plant, and maximise its beauty and proliferation for future seasons, is the need to skilfully prune the…...

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FACT SHEET: Checklist for setting up a Cryptocurrency (Virtual Asset) Exchange in Australia

03 Jun 2021
FACT SHEET: Checklist for setting up a Cryptocurrency (Virtual Asset) Exchange in Australia

Sarah Archer

Senior Associate

Before you set up a cryptocurrency exchange… ☐  Determine the service(s) you will provide as part of your cryptocurrency exchange, and what will be traded.  For example, consider: Will Total…...

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5 Frequently asked Questions about Setting up a Cryptocurrency Exchange in Australia

01 Jun 2021
5 Frequently asked Questions about Setting up a Cryptocurrency Exchange in Australia

Sarah Archer

Senior Associate

  Are you thinking of setting up a crypto exchange?  Given the number of enquiries we receive on this particular question, we thought it would be useful to set out…...

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Financial Services Compliance: Save or Spend?

06 May 2021
Financial Services Compliance: Save or Spend?

Zoe Higgins

Special Counsel

When new clients are looking to engage us for the first time, they sometimes ask us for recommendations on what our first task should be. This is obviously more likely…...

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