Articles

Date
Category
Industry

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

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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Proposed Internal Dispute Resolution (IDR) Reporting Requirements

Friday, 24 November 2017
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Zoe Higgins

Special Counsel

Since the Ramsay Review commenced in 2016, there has been significant progress toward a new framework for External Dispute Resolution (EDR) in Australia.  The new framework will include the establishment…...

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Australia Provides Relief for GST Treatment of Digital Currencies

Wednesday, 22 November 2017
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Mark Sneddon

Partner

The recent changes to the law in Australia align the GST treatment of digital currency with the GST treatment of money (particularly foreign currency).  However, it will be important for…...

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Why Australian Financial Services Licensees absolutely MUST prioritise cyber-resilience

Friday, 17 November 2017

12-18 November is Fraud Awareness Week, and once again, cyber-resilience is a hot topic.  As a licensee, do you wonder what you legally have to do?  Before we tell you,…...

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Room to improve AML/CTF Systems and Controls – Our take on AUSTRAC’s Risk Assessment

Wednesday, 25 October 2017
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Alexa Bowditch

Lawyer

In July 2017, AUSTRAC released its latest money laundering and terrorism financing (ML/TF) risk assessment which focuses on the securities and derivatives sector.  Similar to past risk assessments released by…...

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Certified Wholesale – SMSFs and Accountant’s Certificates

Saturday, 14 October 2017
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David Court

Partner

On 7 July 2017, ASIC issued a media release concerning action that it had taken over a particular example of perceived inappropriate use of accountant's certificates to treat investors as…...

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So you’re planning on opening a cryptocurrency (e.g. Bitcoin, Altcoin) exchange

Wednesday, 28 June 2017
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Alexa Bowditch

Lawyer

Bitcoin and other cryptocurrencies have seen a significant value increase in the recent past.  If you had the foresight to invest in Bitcoin and Ethereum in January this year, you…...

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What the Storm Financial case told us about wholesale client eligibility

Tuesday, 22 November 2016
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David Court

Partner

The recent decision of the Federal Court in the Storm Financial case (or, to be legally precise, the case of ASIC v Cassimatis (no.8) [2016] FCA 1023) considers a number…...

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