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Financial Services in Focus – Issue 52

Banking & Finance| 08 Apr 2021

Financial Services in Focus – Issue 52

In this edition, we report on ASIC’s CFD and binary option product intervention orders, ASIC’s requirements for advice fee consents and independence disclosures, ASIC’s ‘no action’ position on virtual meetings and much more.

Financial Services in Focus – Issue 51

Banking & Finance| 15 Mar 2021

Financial Services in Focus – Issue 51

In this edition, we report on draft exposure regulations for incoming reforms to breach reporting obligations.

Financial Services in Focus – Issue 50

Banking & Finance| 23 Feb 2021

Financial Services in Focus – Issue 50

In this edition, we consider the much-anticipated High Court decision in Westpac v ASIC on personal versus general financial product advice and the introduction of the ‘Your Future, Your Super’ bill and proposed amendments to continuous disclosure rules into Parliament.

Financial Services in Focus – Issue 49

Banking & Finance| 02 Feb 2021

Financial Services in Focus – Issue 49

In this edition, we consider an interesting case on the 'application moneys provisions' for the issue of financial products, we outline proposed exclusions from the new claims handling licensing obligations and report on reforms to AML/CTF legislation.

Design and distributions obligations: a review of ASIC’s final regulatory guide

Financial Services| 15 Dec 2020

Design and distributions obligations: a review of ASIC’s final regulatory guide

We examine ASIC’s final regulatory guide on the design and distribution obligations regime. In particular, we compare the final guidance with the draft regulatory guide released last year.