Sign up for free to receive our blogs, regulatory alerts, and monthly updates
Sign upInsights
Ongoing fee arrangements – consent, consent, consent
18 Nov 2024
Samantha Hills
PartnerThe big-ticket item for advice licensees resulting from the DBFO Act is the changes made to ongoing fee arrangements (OFAs). New provisions relating to OFAs come into effect from 10…...
Read moreASIC’s enforcement priorities in design and distribution: What we know from recent stop orders and Federal Court decisions
12 Nov 2024
Ursula Noye
Senior AssociateReceiving 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 moreFACT SHEET: The AFSL Variation Process
30 Sep 2024
Frank Varga
Head of LicensingHow do I apply to vary an AFS licence? The application process is completed using an online form (ASIC Form FS03) via the AFS licence portal, where you will be…...
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 moreLoading...