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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
Readers may be forgiven for thinking that the practice of slavery is now only of historical interest – having been largely abolished in the 19th century. While that is true…...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
Late last year, UK based Equifax Ltd was issued with a penalty of 500,000GBP by the Information Commissioner (UK) (the Commissioner) in relation to a privacy breach. The breach occurred…...Read more