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FACT SHEET: Top 10 Tips for a Successful AFSL Application
08 Feb 2024
Frank Varga
Head of LicensingHere are our top 10 tips for a successful AFSL application. Organisational competency, as demonstrated by your Responsible Manager, will make or break your application. Get good legal advice at…...
Read moreDesign 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
Special Counsel“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 moreAnybody home? The importance of checking whether your corporate clients have been deregistered
17 Oct 2023
Ellie Khor
AssociateThere 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 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 moreNew penalties for Unfair Contract Terms call for an immediate review of your Standard Form Contracts
09 Aug 2023
Alison Rees
Senior AssociateOn 9 November 2023, a substantial expansion of the unfair contract terms laws (the UCT laws) in the Australian Consumer Law (ACL) and the Australian Securities and Investments Commission…...
Read moreCurrently trending: Interim stop orders – ASIC’s focus on design and distribution
07 Jul 2023
Josh Wigney
AssociateWhen we think of trending, we think of what’s popular on Twitter or TikTok, and these trends generally don’t last longer than a couple of days to a week. When…...
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