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Preparing for your AFSL audit: 2025
Summary of important items for AFS Licensees & limited AFS licence holders to keep in mind as they prepare for their audit.
Sophie Grace Pty Ltd
Australia: Financial Services
Finance law and banking law thought leadership, articles, podcasts, videos and webinars from expert sources across the legal world. Explore insights covering topics such as capital adequacy, BASEL, acquisition finance, debt capital markets, fund finance, islamic finance, securitization and structured finance.
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Responsible Lending In The Spotlight – Lessons From ASIC v Money3 Loans Pty Ltd (No 3)
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Funds Update - 12 September 2025
On 3 September 2025, ASIC released Report 813 Regulatory Simplification, outlining ASIC's strong commitment to regulatory simplification and recent and forthcoming work in the area of simplification.
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The Government has introduced a Bill containing reforms that would require mandatory public disclosure of all forms of derivative interests once the 5% threshold is reached.
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Inaccuracies In Customer Reporting – Pinning The Tail On The Misleading Or Deceptive Donkey
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Australia Financial Lines Insurance Symposium Report 2025
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Inside Safety Podcast Series - Episode 2 Spotlight On Silica – Recent Developments And Trends
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APAC Monthly Private Wealth Legal Developments – July 2025
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AI For Better Insurance
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Demystifying Australia's National Anti-Corruption Commission (Video)
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Six months of inactivity in your AFSL or ACL? ASIC has the Power to Immediately Cancel it
ASIC has been regularly enforcing its powers to cancel both Australian Financial Services Licences and Australian Credit Licences where the licensee fails to commence its business within six months.
Sophie Grace Pty Ltd
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FCA Makes the ‘Execution Agent' Field Conditional under EMIR
These new validation rules will take effect from 26 January 2026 (Implementation Date).
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The Paradox Of Progress: How A Decade Of Financial Reform Created Both Clarity And Complexity
Australia's financial sector has experienced significant transformation over the past decade through comprehensive regulatory reform, but regulatory clarity doesn't always create operational simplicity.
FTI Consulting
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Avoiding Trade Reporting Penalties
Main focus for reporting entities should be on prompt and accurate reporting and notification of errors or issues with their trade reporting to their regulators.
TRAction
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Retail vs Wholesale Clients – Regulatory Concerns and Responses
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APAC Monthly Private Wealth Legal Developments – July 2025
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Beneath The Surface: Making Up The Deficit - The Critical Minerals Strategic Reserve And Australia's Unrealised Critical Minerals Production Potential
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Funds Update - 15 August 2025
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Reporting Transactions under EMIR, MiFIR and SFTR Seamlessly
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Are you Providing Sufficient Notice to Clients Regarding Authorised Representatives or Credit Representatives Leaving?
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Financial Advisers – Check FAR Details
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Changes Ahead For Australia's Payments Sector: The RBA Proposes To Ban Card Surcharging
K&L Gates LLP
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MiFID reporting remediation tips and traps – FCA's Market Watch 82
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Financial Advisers – Check FAR Details
ASIC urges Australian Financial Service licensees and their relevant providers to ensure that all information on the Financial Advisers Register is correct.
Sophie Grace Pty Ltd
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Changes Ahead For Australia's Payments Sector: The RBA Proposes To Ban Card Surcharging
The Reserve Bank of Australia (RBA) has proposed major reforms to the existing card payment and surcharging regulatory landscape in Australia.
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MiFID reporting remediation tips and traps – FCA's Market Watch 82
The FCA urges firms to enhance MiFID reporting through timely fixes, accurate back reporting & clear breach notifications.
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Mission impossible? Cybersecurity and privacy for AFS licensees
Financial firms must improve cybersecurity to meet legal duties and protect against rising data breach risks.
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ASIC set to review debt management and credit repair services
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Funds Update - 18 July 2025
On 9 July 2025, ASIC released Simple Consultation 22: Proposed update to ASIC's guidance on Product Disclosure Statements (PDSs), inviting industry feedback on proposed revisions...
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Ban on conflicted remuneration for mortgage brokers and intermediaries – here to stay
The Credit Act now bans conflicted remuneration for mortgage brokers to protect consumers, effective from 1 January 2021.
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ASIC's Recent Enforcement Action relating to Finfluencers
ASIC is keeping a close eye on social media influencers especially where they suspect they are breaching of Corporations Act.
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Breach Reporting In Financial Services And Application To Offence Provisions: Are You Over-Reporting?
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The Regulatory Developments For FY25 That Fund Managers Can't Afford To Ignore
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A View On The 2025/26 New South Wales, Queensland And The Australian Capital Territory Budgets
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May 2025 ESG Policy Update—Australia
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ASIC floats IPO reforms to revitalise public markets
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ASIC Trialling Fast-Tracked Initial Public Offerings
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Full Federal Court Finds In Favour Of ASIC Appeal Concerning The Scope Of The "Authorised Representative" Exemption
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Full Federal Court weighs in on Australian financial services licences and authorised representatives
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ASIC latest enforcement action for misleading website claims
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Victorian Government To Extend The Temporary Off-The-Plan Duty Concession
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