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The Consequences of a Poor Corporate Culture
25 May 2019
Sarah Archer
Senior AssociateCorporate culture has been a particular emphasis of financial services in recent times and was a primary focus of the Hayne Royal Commission. But what are the consequences of having…...
Read moreAre you paying too much for your ASIC Industry Funding Levy?
04 Apr 2019
Frank Varga
Head of LicensingASIC has now issued levies for the 2017 – 2018 financial year. These invoices were due to be paid by 15 March 2019. Late payment penalties apply from 1 April…...
Read moreThe Royal Commission and Wholesale Clients – A Missed Opportunity?
14 Feb 2019
David Court
PartnerThe continuing increase in retail client regulation over recent years (such as the FOFA reforms) and the increasing ease with which clients can meet the wholesale client eligibility tests has…...
Read moreASIC – No more Mr Nice Guy
18 Dec 2018
Tim Dixon
Special CounselHere’s what you can expect of ASIC after the Royal Commission and what you’ll need to do. In the wake of the Royal Commission and the criticisms of ASIC…...
Read moreUnfair Contract Terms – What’s the problem?
26 Nov 2018
Grant Holley
Previously a Partner & Co-Founder at Holley NethercoteYou want to download an app on your phone, sign up for a service of some kind or rent a car. Someone comes to the door or telephones you…...
Read moreIs the end coming for the Sophisticated Investor?
22 Oct 2018
David Court
PartnerThe distinction between wholesale and retail clients is a fundamental part of the financial services laws. The continuing increase in retail client regulation over recent years (such as the…...
Read moreCryptocurrency Exchanges must now fully comply with the Anti-Money Laundering and Counter-Terrorism Laws in Australia
04 Oct 2018
Naomi Fink
Special CounselIf you are operating a cryptocurrency/digital currency exchange (DCE) which exchanges fiat (Australian or foreign currency) for digital currency and/or vice versa, you would be aware that from 3…...
Read moreIt’s time to dust off your conflicts of interest policy
27 Jun 2018
Jesse Vermiglio
PartnerEarlier this year, ASIC launched a crusade against poor financial advice. ASIC looked at how some of Australia’s larger banking and financial services institutions dealt with conflict of interest…...
Read moreYou’ve just suffered a ‘cyber’ incident – What are the legal risks?
19 Feb 2018
Fiona McCord
Previously a Senior Associate at Holley NethercoteWhile it is natural to focus on restoring internal systems and security processes if a cyber incident arises, consideration must be given to the potential legal ramifications. Here are…...
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