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Insights

Date
Industry

Changes to annualised salary arrangements: from 1 March 2020

13 Feb 2020
Changes to annualised salary arrangements: from 1 March 2020

Naomi Fink

Special Counsel

Is your industry subject to a Modern Award?  If yes, does the Award include an “annualised salary” provision?  If yes, then from 1 March 2020, you must comply with new…...

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Complying with your AML/CTF obligations

12 Feb 2020
Complying with your AML/CTF obligations

Naomi Fink

Special Counsel

AUSTRAC Action: The Westpac Case AML/CTF obligations - A case study: Australian Transaction Reports and Analysis Centre (AUSTRAC) made national and international headlines on 20 November 2019, when it applied…...

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Regulatory Developments – All that you can’t leave behind

31 Jan 2020
Regulatory Developments – All that you can’t leave behind

Samantha Hills

Partner

As you turned the corner into 2020, you might have been grateful to leave the events of 2019 behind you.  But regulatory developments in 2019 will drive the agenda in…...

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Retail vs Wholesale Clients – Regulatory Concerns and Responses

23 Jan 2020
Retail vs Wholesale Clients – Regulatory Concerns and Responses

David Court

Partner

While there have been some changes to the wholesale client eligibility criteria since 2004, we appear to be reaching a point where a more fundamental reassessment of the distinction between…...

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Data breaches are big news, but don’t forget the privacy basics

20 Dec 2019
Data breaches are big news, but don’t forget the privacy basics

Zoe Higgins

Previously a Special Counsel at Holley Nethercote

From February 2018 onward, the notifiable data breaches (NDB) regime introduced new obligations for Australian government agencies and private sector organisations that were already subject to the Privacy Act 1988…...

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As a credit licensee, can you sign the Annual Compliance Certificate?

18 Dec 2019
As a credit licensee, can you sign the Annual Compliance Certificate?

Fiona McCord

Previously a Senior Associate at Holley Nethercote

If you are a credit licensee, you must lodge an annual compliance certificate with ASIC within 45 days of your licensing anniversary each year.  Your licensing anniversary is the anniversary…...

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Paying a member’s financial advice fees out of a super fund

29 Nov 2019
Paying a member’s financial advice fees out of a super fund

David Court

Partner

An issue that regularly arises in relation to the provision of financial advice is whether the cost of that advice can be paid out of a superannuation fund of which…...

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Federal Court dismisses ASIC’s test case against Westpac on Responsible Lending

08 Nov 2019
Federal Court dismisses ASIC’s test case against Westpac on Responsible Lending

Jesse Vermiglio

Partner

In early August 2019, Justice Perram of the Federal Court dealt ASIC a significant blow by dismissing its case that Westpac had breached responsible lending laws. In some ways, the…...

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12 Problem Words for Financial Services Promotional Materials

25 Oct 2019
12 Problem Words for Financial Services Promotional Materials

David Court

Partner

Whatever your financial services business model, you are legally responsible for the content of the promotional material that you publish or otherwise make available in the public arena. This blog…...

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