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Holley Nethercote commercial & financial services lawyers
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Tel: +61 3 9670 8200
Fax: +61 3 9670 5499
22/140 William Street
By Zoe Higgins
AFCA is required to decide a complaint based on what is fair in all the circumstances, having regard to various factors.
By Grant Holley
The financial services provided by a licensee under an AFS licence should be delivered efficiently, honestly and fairly.
By Paul Derham
This commentary only applies to Australian Financial Services Licence (AFSL) holders who issue CFDs to retail clients.
By Naomi Fink
The new regime will require some companies to also have a whistleblower policy complying with the statutory requirements.
By Frank Varga
This is the first year of the new regime where ASIC will recover most of its regulatory costs from regulated industries.
By David Court
The issue was not raised in the public hearings and was not mentioned in either the Interim Report or the Final Report.
By Tim Dixon
ASIC says that it will adopt a much tougher and more aggressive stance in its monitoring and enforcement of compliance.
By Samantha Hills (formerly with Holley Nethercote), Nicole Tan (formerly with Holley Nethercote)
ASIC has published the exact levies payable by regulated entities in 2019 under the new industry funding arrangements.
By Grant Holley
It is timely, if you have not already done so, to review all your standard form ' take it or leave it" contracts.
By Samantha Hills (formerly with Holley Nethercote), Jared Mintz
Licensees who have joined AFCA but have yet to notify ASIC must do so before 30 November, or be liable for late fees.
By Samantha Hills (formerly with Holley Nethercote), Jared Mintz
Being able to sever ties with an adviser who breaches your AFS licence obligations is very important for licensees.
By Grant Holley, Hannah MacPherson (formerly with Holley Nethercote), Jared Mintz
Crowd sourced funding was very recently made available to proprietary companies.
By David Court
Discussion of the sophisticated investor eligibility test, its problems and its future.
By Alexa Freeman, Naomi Fink
A policy principle period was declared until 2 October 2018 to allow DCEs time to comply with their new obligations.
By Grant Holley, Hannah MacPherson (formerly with Holley Nethercote)
If you are carrying on business in Australia and have a turnover above $100m (or $50m in NSW), this Bill applies to you.
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