Articles

Date
Category
Industry

Mismanaging client data can cost you! Lessons to be learned from Equifax

Sunday, 30 June 2019
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Fiona McCord

Senior Associate

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…...

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Enhanced Whistleblower Protections: What does it mean for your Company?

Thursday, 27 June 2019
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Naomi Fink

Senior Associate

As of 1 July 2019, potential whistleblowers across Australia will enjoy an added layer of statutory protections.  The Treasury Laws Amendment (Enhancing Whistleblower Protections) Act 2019 (Cth) (‘the Amendment’) has expanded the…...

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The Consequences of a Poor Corporate Culture

Saturday, 25 May 2019
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Sarah Archer

Associate

Corporate culture has been a particular emphasis of financial services in recent times and was a primary focus of the Hayne Royal Commission. But what are the consequences of having…...

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Are you paying too much for your ASIC Industry Funding Levy?

Thursday, 04 April 2019
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Frank Varga

Head of Licensing

ASIC has now issued levies for the 2017 – 2018 financial year.  These invoices were due to be paid by 15 March 2019.  Late payment penalties apply from 1 April…...

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The Royal Commission and Wholesale Clients – A Missed Opportunity?

Thursday, 14 February 2019
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David Court

Partner

The distinction between wholesale and retail clients is a fundamental aspect of the financial services laws. Concerns with the wholesale/retail client distinction The continuing increase in retail client regulation over…...

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ASIC – no more Mr Nice Guy

Tuesday, 18 December 2018
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Tim Dixon

Special Counsel

Here’s what you can expect of ASIC after the Royal Commission and what you’ll need to do. In the wake of the Royal Commission and the criticisms of ASIC being…...

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Unfair Contract Terms – What’s the problem?

Monday, 26 November 2018
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Grant Holley

Managing Partner

You want to download an app on your phone, sign up for a service of some kind or rent a car. Someone comes to the door or telephones you and…...

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Is the end coming for the Sophisticated Investor?

Monday, 22 October 2018
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David Court

Partner

The distinction between wholesale and retail clients is a fundamental part of the financial services laws.  The continuing increase in retail client regulation over recent years (such as the FOFA…...

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Cryptocurrency Exchanges must now fully comply with the Anti-Money Laundering and Counter-Terrorism Laws in Australia

Thursday, 04 October 2018
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Alexa Bowditch

Lawyer

If you are operating a cryptocurrency/digital currency exchange (DCE) which exchanges fiat (Australian or foreign currency) for digital currency and/or vice versa, you would be aware that from 3 April…...

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