Articles

Date
Category
Industry

AFCA: A fair worry

Tuesday, 08 October 2019
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Zoe Higgins

Special Counsel

When I was in my second or third year of law school, I remember having to read some EDR scheme decisions to answer the following question: “What role do considerations…...

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10 tips to keep your promotional material from being misleading or deceptive

Monday, 07 October 2019
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Rachel Erlich

Senior Associate

Whether 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 available, in…...

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Establishing an SMSF – 7 reasons to use a corporate trustee

Saturday, 05 October 2019
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David Court

Partner

Like most professional advisers, we are strongly of the view that a self-managed superannuation fund ("SMSF") should have a corporate trustee. This article looks at the trustee requirements for SMSFs…...

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How to score an A+ at your next licensee compliance audit

Thursday, 03 October 2019
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Paul Derham

Partner

When did you sit your last exam? Remember the mixed feelings of anticipation and dread? You probably recall the feeling more vividly than the subject matter. Memories like that are…...

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Efficiently, Honestly and Fairly

Monday, 30 September 2019
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Grant Holley

Managing Partner

I’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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Enforceable Undertakings – what you need to know as a licensee

Tuesday, 17 September 2019
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Grant Holley

Managing Partner

An enforceable undertaking, or EU, is an undertaking offered to ASIC, by what we affectionately refer to as “the Pingee”, which sets out in writing certain actions that the Pingee…...

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How can a computer comply with the Best Interests Duty (BID)?

Friday, 13 September 2019
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Grant Holley

Managing Partner

The best interests duty Section 961B of the Corporations Act 2001 (Cth) (“the Act”) requires a provider of financial product advice to act in the best interests of the client…...

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Directors duties of a responsibility entity

Thursday, 05 September 2019
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Samantha Hills

Senior Associate

Need a hand with understanding your duties as director of a responsible entity? Check out this case that made it all the way to the High Court. The case In…...

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Protecting your AFSL from advisers who breach

Wednesday, 04 September 2019
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Samantha Hills

Senior Associate

Being able to sever ties with an adviser who is causing you to breach your AFSL obligations is an important consideration for licensees. AR agreements and internal auditors You should…...

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