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Design and Distribution Obligations – deferred but not forgotten. What do you need to do to prepare for the DDO regime?
23 Dec 2023
Michael Mavromatis
PartnerThe design and distribution obligations (DDO) may have been deferred for six months, but they’re not going away. Product issuers and distributors still need to prepare for the commencement of…...
Read moreOur submission to Treasury’s Regulating Digital Asset Platforms Proposal Paper
08 Dec 2023
Paul Derham
Managing PartnerDear Director, RE: Regulating Digital Asset Platforms - Proposal Paper Thank you for the opportunity to provide feedback on Treasury’s Regulating Digital Asset Platforms Proposal Paper (the Proposal Paper). As…...
Read moreDo I need an AML Licence in Australia?
24 Nov 2023
Rachel Erlich
Senior Associate“Do I need an AML Licence in Australia?” is a commonly asked question. You might be surprised to learn that there is in fact no such thing as an Australian…...
Read moreIs AI a threat or opportunity for Australian Financial Services and Australian Credit Licensees, today?
09 Nov 2023
Paul Derham
Managing PartnerFor the time poor readers, here’s the TL;DR (too long; didn’t read) version: Artificial Intelligence (AI) presents unique regulatory and other risks that need to be managed. The law in…...
Read moreAnybody home? The importance of checking whether your corporate clients have been deregistered
17 Oct 2023
Ellie Khor
LawyerThere is no express obligation for a financial services provider to monitor its client lists for deregistered companies. However, the recent case of ASIC v Westpac [2022] FCA 515…...
Read moreWhy your AML/CTF Program needs to be independently reviewed regularly
25 Sep 2023
Naomi Fink
Special CounselWe have conducted lots of independent reviews. In this article we explain who the review obligations apply to, who can undertake them, where they come from, and what to expect.…...
Read moreWhat are the compliance requirements for regulated managed investment schemes?
05 Sep 2023
Samantha Hills
PartnerIn our previous article, Managed investment schemes and when they must be registered, we looked at the definition of managed investment schemes, and what distinguishes a registered from an unregistered…...
Read moreManaged investment schemes (MIS) and when they must be registered
01 Sep 2023
Samantha Hills
PartnerThe term “managed investment scheme” is often used but not always well understood. You might have come across the term while planning a new business venture which will involve attracting…...
Read moreWholesale Client Eligibility – Sophisticated Investor and Individual Wealth Tests
25 Aug 2023
David Court
PartnerIn recent years, the issue of wholesale client eligibility has been attracting increased attention as an area in need of reform. Of particular interest are recent developments in relation to…...
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