Oceania: Finance and Banking

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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.

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.

Australia Finance

TRAction

Retail vs Wholesale Clients – Regulatory Concerns and Responses

Regulatory issues and concerns which have arisen with the current legal definitions of wholesale and retail clients under the Corporations Act 2001.

Australia Finance

HN

Holley Nethercote

APAC Monthly Private Wealth Legal Developments – July 2025

ASIC has published a consultation on proposed updates to its Regulatory Guide 181: Licensing – Managing conflicts of interest, which provides guidance on how Australian financial services...

Worldwide Finance

KL

Herbert Smith Freehills Kramer LLP

Funds Update - 15 August 2025

On 5 August 2025, ASIC released Simple Consultation: Proposed remake of relief instrument for managed investment product consideration inviting industry feedback on proposed...

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

Reporting Transactions under EMIR, MiFIR and SFTR Seamlessly

Australia Finance

TRAction

Are you Providing Sufficient Notice to Clients Regarding Authorised Representatives or Credit Representatives Leaving?

Australia Finance

SG

Sophie Grace Pty Ltd

Financial Advisers – Check FAR Details

Australia Finance

SG

Sophie Grace Pty Ltd

MiFID reporting remediation tips and traps – FCA's Market Watch 82

Australia Finance

TRAction

Mission impossible? Cybersecurity and privacy for AFS licensees

Australia Finance

HN

Holley Nethercote

ASIC set to review debt management and credit repair services

Australia Finance

SG

Sophie Grace Pty Ltd

What You Need To Know About Buying And Selling A Financial Or Credit Services Business

Australia Finance

SG

Sophie Grace Pty Ltd

A Bad Weekend for Deemed Service: Roberts Co (NSW) Pty Ltd v Sharvain Facades Pty Ltd (Administrators Appointed)

Australia Finance

PA

Piper Alderman

Funds Update - 18 July 2025

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

Flying with derivatives: Keeping airports grounded in a turbulent economy

Australia Finance

TRAction

Fraud and corruption – how crisis management can help

Australia Commercial

BP

Bartier Perry

Demystifying Australia's National Anti-Corruption Commission (Video)

Australia Criminal

AM

Alvarez & Marsal

Dismissal upheld: employee breaches employer's directions while recovering from illness

Australia Employment

CG

Cooper Grace Ward

Skilled Visa Salary Thresholds To Increase To 4.6% From 1 July 2025

Australia Immigration

IL

Interstaff Immigration Agency

Block earner triumphs in ASIC appeal

Australia Technology

PA

Piper Alderman

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Related Country Guides

Alternative Investment Funds

Commodities/Derivatives/Stock Exchanges

APAC Monthly Private Wealth Legal Developments – July 2025

ASIC has published a consultation on proposed updates to its Regulatory Guide 181: Licensing – Managing conflicts of interest, which provides guidance on how Australian financial services...

Worldwide Finance

KL

Herbert Smith Freehills Kramer LLP

Flying with derivatives: Keeping airports grounded in a turbulent economy

Airports use derivatives to hedge fuel, interest rate, and currency risks, ensuring smooth operations amid economic volatility.

Australia Finance

TRAction

Cruising with derivatives: staying afloat in choppy markets

Global cruise lines rely on derivatives to smooth out costs and keep long-term strategies on course even when markets get rough.

Australia Finance

TRAction

May 2025 ESG Policy Update—Australia

Australia Commercial

KG

K&L Gates LLP

ASIC floats IPO reforms to revitalise public markets

Australia Finance

CG

Cooper Grace Ward

Embracing Arbitration For Australian Financial Services Disputes

Australia Finance

CC

Corrs Chambers Westgarth

2025 Banking Code of Practice - key changes affecting lenders and borrowers

Australia Finance

BP

Bartier Perry

To name or not to name? ASX revises its approach to continuous disclosure obligations for market sensitive contracts

Australia Finance

PA

Piper Alderman

Carbon Credit Trading and ACCUs in Australia – Are they reportable?

Australia Finance

TRAction

See more

Capital Adequacy/BASEL

What to do when the derivative instrument's underlier has no ISIN under EMIR

This article discuss how to populate the ISIN.

Australia Finance

TRAction

ESMA's assessment of the MiFID Trade Reporting Framework

The consultation from October 2024 discusses the revisions proposed to the existing technical standards.

Australia Finance

TRAction

Is reporting at ‘position level' allowed for all EMIR Derivatives?

Position level reporting basically targets aggregated data to show overall exposure across the counterparties concerned.

Australia Finance

TRAction

Should OSFI Rethink AT1 Capital Requirements, Particularly For Federal Credit Unions?

Australia Finance

TL

Torys LLP

Are you taking reasonable steps to ensure your authorised representatives do not accept conflicted remuneration?

Australia Finance

SG

Sophie Grace Pty Ltd

Operational Resilience – Predicting The Unpredictable

Worldwide Finance

HS

Herbert Smith Freehills Kramer LLP

The 2019 EU Securitisation Regulations And The Australian RMBS Market

Australia Commercial

MB

Mayer Brown

PPSA in practice - big trouble in little security

Australia Commercial

BP

Bartier Perry

Tis' the season – Is there a case for seasonally adjusted covenants?

Australia Finance

KS

Kemp Strang Lawyers

See more

Fund Management/ REITs

APAC Monthly Private Wealth Legal Developments – July 2025

ASIC has published a consultation on proposed updates to its Regulatory Guide 181: Licensing – Managing conflicts of interest, which provides guidance on how Australian financial services...

Worldwide Finance

KL

Herbert Smith Freehills Kramer LLP

APAC Monthly Private Wealth Legal Developments – June 2025

ASIC has provided Australian financial services and credit licensees additional targeted relief under the reportable situations regime in response to feedback from industry.

Worldwide Wealth Mgt

KL

Herbert Smith Freehills Kramer LLP

The Regulatory Developments For FY25 That Fund Managers Can't Afford To Ignore

As we have now said goodbye to FY25, we look back on some of the more significant regulatory developments that fund managers can't afford to ignore.

Australia Finance

KG

K&L Gates LLP

The big issue with issuing – Can it be done without holding an AFSL?

Australia Finance

HN

Holley Nethercote

Embracing Arbitration For Australian Financial Services Disputes

Australia Finance

CC

Corrs Chambers Westgarth

Are you breaching the anti-hawking provisions?

Australia Finance

SG

Sophie Grace Pty Ltd

ASIC Issues Warning over Dodgy Cold Calling Operators and Online Baiting Tactics

Australia Finance

SG

Sophie Grace Pty Ltd

The Regulation Of Private Markets In Australia—Where To Next?

Australia Finance

JD

Jones Day

ESMA's assessment of the MiFID Trade Reporting Framework

Australia Finance

TRAction

See more

Listing Rules & Flotation

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.

Australia Finance

TRAction

LEI Status Requirements

The regimes differ in terms of specific validation rules and action types, even though field names may be similar in some cases.

Worldwide Commercial

TRAction

Launching a new financial product in 2025? Don't forget to do these things…

Launching a new product today is trickier than it's ever been.

Australia Finance

HN

Holley Nethercote

IERs For Transactions & Restructurings

Australia Insolvency

FC

FTI Consulting

New Heights: Australian IPO Review 2021

Australia Strategy

HS

Herbert Smith Freehills Kramer LLP

De-risking in response to permanent changes to continuous disclosure laws in Australia

Australia Finance

CC

Corrs Chambers Westgarth

Do I need to disclose my earnings to the ASX?

Australia Finance

L

LegalVision

Trading on the stock market: kangaroos and cowboys

Australia Finance

MR

McCullough Robertson

Investor guidance in the time of the COVID-19 pandemic

Australia Compliance

CC

Corrs Chambers Westgarth

See more

Latest Videos

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Insights into the Australian Economic Environment in 2023

CP

Cathro & Partners

Monitoring your Licence Number through Google Alerts

SG

Sophie Grace Pty Ltd

Signing loan documents electronically

BP

Bennett & Philp Lawyers

It Depends – Should I make a family provision application?

CG

Cooper Grace Ward

Streaming series | An introduction - what is mine streaming?

NR

Norton Rose Fulbright Australia

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