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5 things to know about the FASEA Code of Conduct
28 Feb 2020
Sarah Archer
Special CounselThose 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…...
Read moreChanges to annualised salary arrangements: from 1 March 2020
13 Feb 2020
Naomi Fink
Special CounselIs 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…...
Read moreComplying with your AML/CTF obligations
12 Feb 2020
Naomi Fink
Special CounselAUSTRAC 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…...
Read moreRegulatory Developments – All that you can’t leave behind
31 Jan 2020
Samantha Hills
PartnerAs 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…...
Read moreRetail vs Wholesale Clients – Regulatory Concerns and Responses
23 Jan 2020
David Court
PartnerWhile 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…...
Read moreData breaches are big news, but don’t forget the privacy basics
20 Dec 2019
Zoe Higgins
Previously a Special Counsel at Holley NethercoteFrom 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…...
Read moreAs a credit licensee, can you sign the Annual Compliance Certificate?
18 Dec 2019
Fiona McCord
Previously a Senior Associate at Holley NethercoteIf 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…...
Read morePaying a member’s financial advice fees out of a super fund
29 Nov 2019
David Court
PartnerAn 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…...
Read moreFederal Court dismisses ASIC’s test case against Westpac on Responsible Lending
08 Nov 2019
Jesse Vermiglio
PartnerIn early August 2019, Justice Perram of the Federal Court dealt ASIC a significant blow by dismissing its case that Westpac had breached responsible lending laws. In some ways, the…...
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