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I Want to Buy an AFSL
12 Oct 2020
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…...
Read moreWe all know “fair’s fair”; but what is fair?
05 Oct 2020
Grant Holley
Co-Founder & ConsultantIt 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”…...
Read moreDoes your Organisation have a strong enough “Customer Voice”?
30 Sep 2020
Jesse Vermiglio
PartnerYou’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…...
Read moreResponsible Lending Obligations to be Scrapped!
25 Sep 2020
Jesse Vermiglio
PartnerThe Government has this morning announced major reforms to the National Consumer Credit regime including the scrapping of Responsible Lending Obligations (RLOs). Below is short summary of the key…...
Read moreShareholder Essentials for Private Companies: The Importance of a Robust Shareholder Agreement
24 Sep 2020
Tim Dixon
Special CounselIf you’re setting up a business, or you have set up a business, you most likely will or have, set up a proprietary limited (Pty Ltd) company or private company. …...
Read moreWhat are the Liabilities of Directors of AFSL Holders?
18 Sep 2020
David Court
PartnerWhen considering regulatory compliance and enforcement in the financial services industry, it is common to focus on the entity that holds the Australian Financial Services Licence (AFSL) and the large…...
Read moreWhat is an AML/CTF Program and do I need a Risk Assessment?
08 Sep 2020
Naomi Fink
Special CounselDo I need an AML/CTF Program? Yes - if you are a “reporting entity” and you provide a “designated service” in connection with Australia that meets the “geographical link” test…...
Read moreHow Legal are your Corporate Authorised Representative / Authorised Representative Agreements? Take the Quiz
03 Sep 2020
Tim Dixon
Special CounselIn October 2016, we published a brief article entitled “Is your Standard Form Contract bullet proof?”. That article was prepared immediately prior to the changes to the Unfair Contracts regime…...
Read moreHigh Court to provide clarity on the meaning of Personal and General Financial Product advice
27 Aug 2020
Samantha Hills
PartnerThe High Court of Australia is set to provide clarity as to when the line will be crossed between the giving of general financial product advice and the giving of…...
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