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ASIC cracks down on financial advisers and licensees
09 Aug 2022
Josh Wigney
LawyerFinancial 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…...
Read moreFinfluencers, referrers and discussing financial products online
08 Aug 2022
Jake Huang
LawyerIn 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…...
Read moreDo I really need to do Responsible Manager (RM) Training?
04 Jul 2022
Samantha Hills
Special CounselYou’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…...
Read moreDon’t tick off the regulator: the role of the humble checklist
08 Jun 2022
Zoe Higgins
Special CounselMisleading 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…...
Read moreCCIV – A new structure for collective investments
02 May 2022
David Court
PartnerFrom 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…...
Read moreCrypto regulation on the horizon: Treasury’s new consultation paper on crypto asset secondary service providers
27 Apr 2022
Paul Derham
Managing PartnerLast 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…...
Read moreConsumer Data Right access expanded to ‘trusted advisers’
05 Apr 2022Important 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,…...
Read moreBlockchain bricks and crypto cathedrals: a breakdown of the key terms
08 Mar 2022
Sarah Archer
Senior AssociateThere’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…...
Read moreAFCA receives its first report card
02 Mar 2022
Rachel Erlich
Senior AssociateThe 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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