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I’m in Financial Services, but why do I need a Financial Services Lawyer?
07 Feb 2022
Grant Holley
Co-Founder & ConsultantIf you’re lucky, you haven’t needed the services of a lawyer much. You’ve managed to stay clear of conflict. Or if not, you’ve sorted it out without fronting a court…...
Read moreCCIV – A new structure for collective investments
02 May 2022
David Court
PartnerFrom 1 July 2022, a new type of investment product – the Corporate Collective Investment Vehicle (CCIV) – will be able to be established by Australian fund managers. In this…...
Read moreFinfluencers, referrers and discussing financial products online
08 Aug 2022
Michael Mavromatis
PartnerIn this article, we take a look at the key issues arising when AFS licensees work with referrers and finfluencers to distribute their products or services. Who are referrers and…...
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 moreWhat happens when the applicant does not give consent?
15 Mar 2024
Ellie Khor
LawyerThe ASIC Corporations and Credit (Reference Checking and Information Sharing Protocol) Instrument 2021/429 (the Protocol) sets out the reference checking and information sharing requirements that apply to financial services licensees…...
Read moreEfficiently, Honestly and Fairly – What does it mean?
10 Jan 2025
Grant Holley
Co-Founder & ConsultantI’d like some “Efficiently, Honestly and Fairly” please, with a dash of “community expectations” thrown in.[1] I would like to start with what is, I think, an unarguable proposition. No…...
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