Current filters:  
Australia
Finance
Financial Services
Australia
Sophie Grace Pty Ltd
All CFD issuers should review leverage limits and ensure correctly applied to the CFD instruments on their platform.
Alvarez & Marsal
AusNet Services was a stapled group consisting of AusNet Services (Transmission) Limited, AusNet Services Finance (Finance) Trust and AusNet Services (Distribution) Limited.
Herbert Smith Freehills
On 19 February 2024, ASIC reissued Regulatory Guide 148: Platforms that are managed investment schemes and nominee and custody services (RG 148).
Sophie Grace Pty Ltd
ASIC alleged that HESTA published false or misleading marketing materials on their social media platforms and website.
Holley Nethercote
Advantages and disadvantages of holding your own licence to provide financial services.
Holley Nethercote
Outline of the key requirements required for applying for and obtaining an AFSL.
K&L Gates
All Australian financial services licensees with a retail authorisation, Australian credit licensees and certain unlicensed entities...
Holley Nethercote
Holding an AFSL issued by ASIC authorises you and your representatives to provide financial services to clients.
Sophie Grace Pty Ltd
This is ASIC's second publication of insights into trends observed in licensee reports from July 2022 to June 2023
Herbert Smith Freehills
On 30 November 2023, the Treasury Laws Amendment (Better Targeted Superannuation Concessions) Imposition Bill (Bill) was tabled in the House of Representatives...
Herbert Smith Freehills
On 7 February 2024, ASIC announced that it had made interim stop orders on four product disclosure statements (PDSs) for classes of units of a registered managed fund (Fund)...
K&L Gates
The Australian Government recently released an exposure draft of the legislation to implement mandatory climate-related financial disclosures (Draft Legislation).
Sophie Grace Pty Ltd
The "Experienced Provider Pathway" has been put in place to reshape the qualification requirements for existing financial advisers.
K&L Gates
The Australian Securities and Investments Commission (ASIC) has published information highlighting the challenges First Nations persons face in respect of identity verification...
Herbert Smith Freehills
The HSF Financial Services Regulatory team is pleased to have advised the Australian Financial Markets Association (AFMA) in obtaining welcome relief from ASIC...
Sophie Grace Pty Ltd
AFCA has published a guide outlining the way it assesses responsible lending complaints.
Herbert Smith Freehills
Increasingly, ASIC has sought to hold product issuers responsible for the conduct of other entities down the distribution chain. The recent case of ASIC v Diversa Trustees Limited...
Herbert Smith Freehills
On 12 January 2024, Treasury released the Treasury Laws Amendment Bill 2024: Climate-related financial disclosure (Exposure Draft Legislation)...
Sophie Grace Pty Ltd
Licensees should review ASIC's 2024 enforcement priorities to further enhance compliance processes and procedures.
Herbert Smith Freehills
Firms and senior management must keep up with rising regulatory expectations, be ready to co-operate and be prepared to proactively offer redress where appropriate...
FREE News Alerts
Sign Up for our free News Alerts - All the latest articles on your chosen topics condensed into a free bi-weekly email.
Popular Contributors
Upcoming Events
MAR17
Mondaq Social Media