Articles

Date
Category
Industry

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 continuing increase in retail client regulation over recent years (such as the FOFA reforms) and the increasing ease with which clients can meet the wholesale client eligibility tests has…...

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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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5 Frequently Asked Questions for Setting up a Cryptocurrency Exchange in Australia

Wednesday, 18 July 2018
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Alexa Bowditch

Lawyer

With digital currencies having cemented themselves in daily finance updates, they have begun to attract the wider market.  Due to the returns that have been made in cryptocurrencies, and the…...

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It’s time to dust off your conflicts of interest policy

Wednesday, 27 June 2018
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Jesse Vermiglio

Partner

Earlier this year, ASIC launched a crusade against poor financial advice.  ASIC looked at how some of Australia’s larger banking and financial services institutions dealt with conflict of interest between…...

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You’ve just suffered a ‘cyber’ incident – What Are the Legal Risks?

Monday, 19 February 2018
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Fiona McCord

Senior Associate

While it is natural to focus on restoring internal systems and security processes if a cyber incident arises, consideration must be given to the potential legal ramifications. Here are our…...

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