Search Result
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AFCA – so what is fair?
20 May 2020As I write this in May 2020, we are facing difficult times. We are grappling with a global pandemic caused by COVID-19. And, as we experienced during the global financial crisis, complaints appear
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Advice fees from super – important changes for advice licensees
04 Dec 2024It pays to understand super trustees’ obligations as modified by the DBFO Act when it comes to advice fees. For an advice licensee, this will be useful when it comes to understanding the obligatio
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A new AFS licensing regime for Foreign Financial Service Providers
31 Mar 2020Foreign 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 hold a
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5 things to know about the FASEA Code of Conduct
28 Feb 2020Those 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 the FASEA Code of Et
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5 Frequently asked Questions about Setting up a Cryptocurrency Exchange in Australia
01 Jun 2021Are you thinking of setting up a crypto exchange? Given the number of enquiries we receive on this particular question, we thought it would be useful to set out some key points for you to th
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12 Problem Words for Financial Services Promotional Materials
25 Oct 2019Whatever your financial services business model, you are legally responsible for the content of the promotional material that you publish or otherwise make available in the public arena. This blog loo
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10 tips to keep your promotional material from being misleading or deceptive
07 Oct 2019Whether your business provides financial services, credit services or anything else, you are legally responsible for the content of the promotional material that you publish, or otherwise make availab
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10 easy steps to draft ‘clear, concise and effective’ Statements of Advice (SOA)
17 Oct 2019Financial advisers are required to provide Statements of Advice (SOAs) that are “clear, concise and effective”. But what does this actually mean in practice? We share some tips and identify some c
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‘Generally speaking’ – What to look out for if you’re considering a move to a general advice model
05 Oct 2021In conducting licensee reviews for our clients, we look at their documented compliance arrangements and speak with their staff. One recent theme to emerge from many of these interviews can be descri