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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…...Read more
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…...Read more
After years of speculation, product intervention in the CFDs sector has come to Australia. This article sets out the 8 conditions proposed by ASIC, and some of our commentary. As…...Read more
Some of you reading may already hold a licence issued by ASIC, be it an AFSL, an ACL or both. If you’re not looking to set up a new business…...Read more
Australian Financial Services and Australian Credit Licensees are subject to data breach reporting requirements contained in the Privacy Act 1988 (“data breach law”). The law imposes a reporting obligation when…...Read more