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Product Intervention for CFDs issuers and Binary Options has landed in Australia. Read our top 6 FAQs
23 Aug 2019
Paul Derham
Managing PartnerAfter years of speculation, product intervention in the CFDs sector has come to Australia. This article sets out the 8 conditions proposed by ASIC, and some of our commentary. As…...
Read moreCurrent ASIC trends in AFSL and ACL applications and variations
05 Jul 2019
Frank Varga
Head of LicensingSome of you reading may already hold a licence issued by ASIC, be it an AFSL, an ACL or both. If you’re not looking to set up a new business…...
Read moreMismanaging client data can cost you! Lessons to be learned from Equifax
30 Jun 2019
Fiona McCord
Previously a Senior Associate at Holley NethercoteLate 2018, 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 under…...
Read moreEnhanced Whistleblower Protections: What does it mean for your Company?
27 Jun 2019
Naomi Fink
Special CounselAs 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…...
Read moreThe Consequences of a Poor Corporate Culture
25 May 2019
Sarah Archer
Special CounselCorporate 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…...
Read moreAre you paying too much for your ASIC Industry Funding Levy?
04 Apr 2019
Frank Varga
Head of LicensingASIC 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…...
Read moreThe Royal Commission and Wholesale Clients – A Missed Opportunity?
14 Feb 2019
David Court
PartnerThe 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…...
Read moreASIC – No more Mr Nice Guy
18 Dec 2018
Tim Dixon
Special CounselHere’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…...
Read moreUnfair Contract Terms – What’s the problem?
26 Nov 2018
Grant Holley
Co-Founder & ConsultantYou 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…...
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