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ASIC’s enforcement priorities in design and distribution: What we know from recent stop orders and Federal Court decisions
12 Nov 2024
Michael Mavromatis
PartnerReceiving a stop order or Federal Court claim relating to a licensee’s product design is extremely stressful for licensees. We should know! We have helped numerous licensees lift interim stop…...
Read moreConflicted remuneration – rearranging the shelves
12 Nov 2024
Samantha Hills
PartnerThe DBFO Act has clarified the conflicted remuneration provisions, with the changes having taken effect from 10 July 2024. Before I explain this, be warned that there were two other…...
Read moreLaunching a new financial product in 2025? Don’t forget to do these things…
04 Nov 2024
Michael Mavromatis
PartnerLaunching a new financial product has never been easy, but today, the list of factors you need to take into account makes it a more complex exercise than ever before.…...
Read moreFSG relief – what’s in it for me?
29 Oct 2024
Samantha Hills
PartnerFrom 10 July 2024, advice licensees and their corporate authorised representatives (CARs) and Authorised Representatives (ARs) have been able to take advantage of modest relief in relation to Financial Services…...
Read moreQAR Tranche 1 – Fact Sheet
24 Sep 2024
Samantha Hills
PartnerDate Topic Task Comment 10 July 2024 FSG relief Make FSG readily accessible on website and cease providing link and getting consent to sharing via link, when the only financial…...
Read moreChanges to AML/CTF – what does it mean for current reporting entities?
08 Jun 2024
Naomi Fink
Special CounselApproximately 17 years after the introduction of the Australian AML/CTF regime, the government has embarked on the much-anticipated process of expanding the reach of the regime to a number of…...
Read moreIs AI a threat or opportunity for Australian Financial Services and Australian Credit Licensees, today?
01 Jun 2024
Paul Derham
Managing PartnerFor the time poor readers, here’s the TL;DR. Artificial Intelligence (AI) presents unique regulatory and other risks that need to be managed. The law in Australia today applies to AI,…...
Read moreSection 30 and Section 33 Notices – ASIC’s Power to Compel Production of Books
05 Apr 2024
Rachel Erlich
Special CounselThe Australian Securities and Investments Act 2001 (ASIC Act) gives ASIC the power to issue section 30 and section 33 notices compelling the production of certain books. Section 30 and…...
Read moreYou’ve just suffered a ‘cyber’ incident – What are the legal risks?
02 Apr 2024
Jesse Vermiglio
PartnerAsk Optus. Its 14-hour national outage on 8 November 2023 led to a Parliamentary inquiry, the resignation of its then CEO, and loss of trust across the market. While it…...
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