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Sophie Grace Pty Ltd
Failure to comply with these financial services laws can result in heavy fines and tough penalties.
Corrs Chambers Westgarth
ASIC now expects all AFS and credit licensees to have review and remediation schemes which align with RG 277.
Sophie Grace Pty Ltd
FAR is a listing of those who can provide advice on investments, superannuation, and life insurance to retail clients.
Herbert Smith Freehills
One of the very memorable catch phrases from the Animals' song repertoire goes along the lines of "Oh Lord, please don't let me be misunderstood."
GRATA International
On October 1, 2022, a new edition of the Instruction No. 37, approved by the Board of the National Bank on February 12, 2021, comes into force.
McMillan LLP
The Discussion Paper comes on the heels of the Insurance Regulators' February 2022 joint statement with respect to the negative impact of Deferred Sales Charges on customers.
Borden Ladner Gervais LLP
The British Columbia (B.C.) Reporter provides a monthly summary of B.C.'s legislative and regulatory developments of relevance to provincially regulated financial institutions.
Mayer Brown
Liquid issues help banks raise record amounts as country finds favour.
Borden Ladner Gervais LLP
The upcoming amendments to National Instrument 45-106 - Prospectus Exemptions (NI 45-106) will provide reporting issuers listed on a Canadian stock exchange with a means to raise equity capital by virtue of a new prospectus exemption known as the Listed Issuer Financing Exemption (the Exemption).
Goodmans LLP
As we reported in our May 4 Update, the Proceeds of Crime (Money Laundering) and Terrorist Financing Regulations and the Proceeds of Crime (Money Laundering) and Terrorist Financing Administrative...
Cayman Islands
Entities subject to the economic substance test (ES Test) contained within the Cayman Islands Economic Substance Regime are required to file an economic substance...
CIMA has issued a suite of updated Rules and Regulatory Procedures on the Cancellation of Licences or Certificates of Registration for Regulated Mutual Funds and Registered Private Funds following industry consultation.
Maples Group
Extreme market volatility has resulted in growing interest for separately managed accounts and managed account platforms.
European Union
Katten Muchin Rosenman LLP
Citing "current liquidity pressures" in EU energy markets and the need to provide market participants with "more options regarding the assets they provide...
Arendt & Medernach
The FAQ contains a series of Q&As on key aspects of the application of Article 4 of Regulation (EU) 2019/1156 on facilitating cross-border distribution of collective investment undertakings (the "CBDF Regulation")...
Azmi & Associates
How EU law survives (or not) in the UK post-Brexit: the Financial Services and Markets Bill and the ‘Brexit Freedoms Bill'...
Collas Crill
Group Partner and head of our Jersey-based Funds team Sam Sturrock comments on the appeal of private investment funds in the Channel Islands in the latest edition of BL Global's Business...
British astronaut Tim Peake has been confirmed as the keynote speaker at this year's WE ARE GUERNSEY Private Wealth Forum.
BTG Legal
Earlier this year in February 2022, the Indian Finance Minister announced the prospective issue of ‘sovereign green bonds', to finance infrastructure and meet clean energy goals.
Macchi di Cellere Gangemi
The recent decision of the Banking and Financial Arbitrator ("ABF") No. 9238 of 14 June 2022 addresses the issue concerning the possibility for a guarantor to withdraw from an omnibus-type guarantee...
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