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Banking & Finance| 08 Apr 2021
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.
Banking & Finance| 15 Mar 2021
In this edition, we report on draft exposure regulations for incoming reforms to breach reporting obligations.
Banking & Finance| 23 Feb 2021
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.
Banking & Finance| 02 Feb 2021
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.
Financial Services| 15 Dec 2020
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.