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I’m a Responsible Manager. What does this mean?
15 Apr 2020
Samantha Hills
PartnerWe regularly train Responsible Managers (“RMs”) of AFS licensees to help them better understand their role. Many RMs are curious to know what they have to do and whether they are personally…...
Read moreRoyal Commission Review
06 Apr 2020
Grant Holley
Co-Founder & ConsultantIn a 1-hour webinar, Paul Derham, Kath Bowler and I discuss the largest issues in the financial services industry following the 2018 Royal Commission. Importantly, we learned that the large majority…...
Read moreHow will my commercial contract be affected by COVID-19?
31 Mar 2020
Naomi Fink
Special CounselWe are all aware of the impact of COVID-19 on our health system and social interactions, however it is also important to consider the effect of the pandemic on business.…...
Read moreA new AFS licensing regime for Foreign Financial Service Providers
31 Mar 2020
Sarah Archer
Special CounselForeign financial service providers will be subject to a new regulatory regime from 1 April 2020, which will require a number of previously exempt foreign financial service providers (FFSPs) to…...
Read moreOutsourcing: How can you comply with an obligation without performing the function?
30 Mar 2020
Alexa Bowditch
Previously a Lawyer at Holley NethercoteIn times like these, are you confident that your business will continue to comply with its obligations where it has outsourced its functions? We explore strategies that your business can…...
Read moreData Breach Reporting – What you need to know as a Licensee
19 Mar 2020
Fiona McCord
Previously a Senior Associate at Holley NethercoteAustralian Financial Services and Australian Credit Licensees are subject to data breach reporting requirements contained in the Privacy Act 1988 (“data breach law”). The law imposes a reporting obligation when…...
Read more5 things to know about the FASEA Code of Conduct
28 Feb 2020
Sarah Archer
Special CounselThose of you caught-up in the wonderful world of FASEA have likely spent more time than you care to count deliberating with colleagues, reading about and considering the impact of…...
Read moreChanges to annualised salary arrangements: from 1 March 2020
13 Feb 2020
Naomi Fink
Special CounselIs 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…...
Read moreComplying with your AML/CTF obligations
12 Feb 2020
Naomi Fink
Special CounselAUSTRAC 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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