Articles

Date
Category
Industry

5 things to know about the FASEA Code of Conduct

28 Feb 2020
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Sarah Archer

Senior Associate

Those of you caught-up in the wonderful world of FASEA have likely spent more time than you care to count deliberating with colleagues, reading about and considering the impact of…...

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Changes to annualised salary arrangements: from 1 March 2020

13 Feb 2020
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Naomi Fink

Senior Associate

Is your industry subject to a Modern Award?  If yes, does the Award include an “annualised salary” provision?  If yes, then from 1 March 2020, you must comply with new…...

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Complying with your AML/CTF obligations

12 Feb 2020
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Naomi Fink

Senior Associate

AUSTRAC Action: The Westpac Case AML/CTF obligations - A case study: Australian Transaction Reports and Analysis Centre (AUSTRAC) made national and international headlines on 20 November 2019, when it applied…...

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Regulatory Developments – All that you can’t leave behind

31 Jan 2020
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Samantha Hills

Senior Associate

As you turned the corner into 2020, you might have been grateful to leave the events of 2019 behind you.  But regulatory developments in 2019 will drive the agenda in…...

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Retail vs Wholesale Clients – Regulatory Concerns and Responses

23 Jan 2020
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David Court

Partner

While there have been some changes to the wholesale client eligibility criteria since 2004, we appear to be reaching a point where a more fundamental reassessment of the distinction between…...

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Data breaches are big news, but don’t forget the privacy basics

20 Dec 2019
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Zoe Higgins

Special Counsel

From February 2018 onward, the notifiable data breaches (NDB) regime introduced new obligations for Australian government agencies and private sector organisations that were already subject to the Privacy Act 1988…...

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As a credit licensee, can you sign the Annual Compliance Certificate?

18 Dec 2019
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Fiona McCord

Senior Associate

If you are a credit licensee, you must lodge an annual compliance certificate with ASIC within 45 days of your licensing anniversary each year.  Your licensing anniversary is the anniversary…...

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Paying a member’s financial advice fees out of a super fund

29 Nov 2019
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David Court

Partner

An issue that regularly arises in relation to the provision of financial advice is whether the cost of that advice can be paid out of a superannuation fund of which…...

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I’m a Responsible Manager. What does this mean?

25 Nov 2019
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Samantha Hills

Senior Associate

We regularly train Responsible Managers (“RMs”) of AFS licensees to help them better understand their role.  Many RMs are curious to know what they have to do and whether they…...

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