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‘Generally speaking’ – What to look out for if you’re considering a move to a general advice model
05 Oct 2021
Zoe Higgins
Previously a Special Counsel at Holley NethercoteIn conducting licensee reviews for our clients, we look at their documented compliance arrangements and speak with their staff. One recent theme to emerge from many of these interviews can…...
Read moreBreach reporting for credit licensees: are you ready to dob yourself in?
03 Sep 2021
Jesse Vermiglio
PartnerOctober 2021 sees the commencement of many new regulatory reforms for Australian Credit Licence (ACL) holders. One of the reforms that will have greatest impact will be the new…...
Read moreLiability of a Responsible Manager – Who’s responsible when things go wrong?
06 Aug 2021
David Court
PartnerThe Responsible Manager (RM) of a licensee plays a key role under the financial services and credit licensing regimes. However, many RMs are concerned as to their responsibilities and…...
Read moreRSE Licensees – Changes in Financial Services Obligations for Superannuation Funds
22 Jul 2021
David Court
PartnerA number of changes to the financial services laws have taken effect in 2021 which are of particular application to trustees of superannuation funds which are not self-managed superannuation…...
Read moreOngoing Fee Arrangements – Frequently Asked Questions
07 Jul 2021
Sarah Archer
Special CounselWe've received a few questions from clients about the new Ongoing Fee Arrangements (OFA), so our team of lawyers and consultants have teamed up to answer some of the…...
Read moreRG 271 – Are you ready for the new Internal Dispute Resolution (IDR) requirements?
02 Jul 2021
Rachel Erlich
Special CounselThe Australian Securities and Investments Commission (ASIC) released Regulatory Guide 271: Internal Dispute Resolution (RG 271) on 30 July 2020. ASIC’s internal dispute resolution (IDR) reporting requirements will come…...
Read moreUpdate – Recent developments in Open Banking – the Consumer Data Right
08 Jun 2021
Michael Mavromatis
PartnerPlease find our update on Open Banking below, along with details of recent developments and upcoming changes. “Open Banking” is the application of the Consumer Data Right (CDR) in the…...
Read moreHow to write a shorter SoA: The Power of Pruning!
03 Jun 2021
Clarisse Berenger
Previously a Lawyer at Holley NethercoteOne of the general fundamentals of gardening, is that to nurture a plant, and maximise its beauty and proliferation for future seasons, is the need to skilfully prune the…...
Read moreFACT SHEET: Checklist for setting up a Cryptocurrency (Virtual Asset) Exchange in Australia
03 Jun 2021
Sarah Archer
Special CounselBefore you set up a cryptocurrency exchange… ☐ Determine the service(s) you will provide as part of your cryptocurrency exchange, and what will be traded. For example, consider: Will you…...
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