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10 easy steps to draft ‘clear, concise and effective’ Statements of Advice (SOA)

17 Oct 2019
10 easy steps to draft ‘clear, concise and effective’ Statements of Advice (SOA)

Zoe Higgins

Previously a Special Counsel at Holley Nethercote

Financial advisers are required to provide Statements of Advice (SOAs) that are “clear, concise and effective”. But what does this actually mean in practice? We share some tips and identify…...

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Top 10 Mistakes Credit Licensees are making – and how to prevent them

17 Oct 2019
Top 10 Mistakes Credit Licensees are making – and how to prevent them

Zoe Higgins

Previously a Special Counsel at Holley Nethercote

We have put together a list of the most common mistakes we've seen credit licensees make, and how to avoid them. Although some of these are specific to the credit…...

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APRA regulatory reporting for general insurance providers

17 Oct 2019
APRA regulatory reporting for general insurance providers

David Court

Partner

Are you an AFSL holder and authorised to deal in general insurance? If so, you should be aware of your obligations to provide data to APRA every six months by…...

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AFCA: A fair worry

08 Oct 2019
AFCA: A fair worry

Zoe Higgins

Previously a Special Counsel at Holley Nethercote

When I was in my second or third year of law school, I remember having to read some EDR scheme decisions to answer the following question: “What role do considerations…...

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10 tips to keep your promotional material from being misleading or deceptive

07 Oct 2019
10 tips to keep your promotional material from being misleading or deceptive

Rachel Erlich

Senior Associate

Whether your business provides financial services, credit services or anything else, you are legally responsible for the content of the promotional material that you publish, or otherwise make available, in…...

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Establishing an SMSF – 7 reasons to use a corporate trustee

05 Oct 2019
Establishing an SMSF – 7 reasons to use a corporate trustee

David Court

Partner

Like most professional advisers, we are strongly of the view that a self-managed superannuation fund ("SMSF") should have a corporate trustee. This article looks at the trustee requirements for SMSFs…...

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How to score an A+ at your next licensee compliance audit

03 Oct 2019
How to score an A+ at your next licensee compliance audit

Paul Derham

Managing Partner

When did you sit your last exam? Remember the mixed feelings of anticipation and dread? You probably recall the feeling more vividly than the subject matter. Memories like that are…...

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Efficiently, Honestly and Fairly – What does it mean?

30 Sep 2019
Efficiently, Honestly and Fairly – What does it mean?

Grant Holley

Previously a Partner & Co-Founder at Holley Nethercote

I’d like some “Efficiently, Honestly and Fairly” please, with a dash of “community expectations” thrown in.¹ I would like to start with what is, I think, an unarguable proposition. No…...

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Enforceable Undertaking – What you need to know as a licensee

17 Sep 2019
Enforceable Undertaking – What you need to know as a licensee

Grant Holley

Previously a Partner & Co-Founder at Holley Nethercote

An enforceable undertaking, or EU, is an undertaking offered to ASIC, by what we affectionately refer to as “the Pingee”, which sets out in writing certain actions that the Pingee…...

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