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Buying a Financial Services Business – Tips & Traps
19 Aug 2020
Tim Dixon
Special CounselSweeping bicarbonate and targeting illnesses and the certainty substances used to pass them can make risk of time. Among the continuing units of the Lof C were Thought Trains, a…...
Read moreWhat is an Authorised Representative?
20 Aug 2020
Grant Holley
Co-Founder & Consultant“What’s in a name?” A fair bit when it comes to the term ‘representative’ under our Australian Financial Services licensing regime. The Act defines the term ‘representative’ as including Authorised…...
Read moreWhat are the Liabilities of Directors of AFSL Holders?
18 Sep 2020
David Court
PartnerWhen considering regulatory compliance and enforcement in the financial services industry, it is common to focus on the entity that holds the Australian Financial Services Licence (AFSL) and the large…...
Read moreDoes your Organisation have a strong enough “Customer Voice”?
30 Sep 2020
Jesse Vermiglio
PartnerYou’ve no doubt heard it on multiple occasions, we live in extraordinary times. Like so many other industries, the COVID-19 pandemic has brought significant challenges for financial services businesses. This…...
Read moreAll Over – the Business impact after COVID-19
21 Oct 2020
Grant Holley
Co-Founder & ConsultantWe are all ‘over COVID’, but are we ‘all over’ the business law issues likely to arise when COVID-19 is all over? Our objective with Commercial Corner is to address…...
Read moreThe Dangers of Ignoring Client Vulnerability
05 Nov 2020
Paul Derham
Managing PartnerChances are, you’re reading this article on an electronic device. You may have used the same device to video-chat with others, message your team and create or send documents…...
Read moreUpdate – Recent developments in Open Banking – the Consumer Data Right
08 Jun 2021
Michael Mavromatis
PartnerPlease find our update on Open Banking below, along with details of recent developments and upcoming changes. “Open Banking” is the application of the Consumer Data Right (CDR) in the…...
Read moreRSE Licensees – Changes in Financial Services Obligations for Superannuation Funds
22 Jul 2021
David Court
PartnerA number of changes to the financial services laws have taken effect in 2021 which are of particular application to trustees of superannuation funds which are not self-managed superannuation…...
Read moreEmployment in a COVID world
03 Nov 2021
Tim Dixon
Special CounselThe way we work, engage with clients, and manage our employment obligations has changed forever as a result of the arrangements which became necessary in order for professional businesses to…...
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