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11 results
AFSL holders on notice for cybersecurity failings

Cyber| 10 May 2022

AFSL holders on notice for cybersecurity failings

Following ASIC v RI Advice, AFSL holders should be aware that cybersecurity protocols are now a core obligation in the provision of financial services.

Key issues in financial services regulatory enforcement

Financial Services| 27 Apr 2022

Key issues in financial services regulatory enforcement

Partner Jacob Uljans discusses the key issues facing financial services businesses in Australia.

Once more unto the breach: ASIC finalises its guidance for the new breach reporting regime

Financial Services| 13 Sep 2021

Once more unto the breach: ASIC finalises its guidance for the new breach reporting regime

ASIC has now published its updated and final guidance on the new breach reporting regime for AFS and credit licensees that will apply from 1 October 2021.

‘Why litigate?’ Financial services regulatory enforcement in the wake of ASIC’s new Corporate Plan

Banking & Finance| 30 Aug 2021

‘Why litigate?’ Financial services regulatory enforcement in the wake of ASIC’s new Corporate Plan

In this update, we explore the changes that financial services businesses can expect to see in ASIC’s approach to exercising its investigative and enforcement functions and powers.

Don’t take it personally – High Court clarifies the test for personal financial advice

Banking & Finance| 08 Feb 2021

Don’t take it personally – High Court clarifies the test for personal financial advice

The High Court has handed down its judgment in the much-anticipated case of Westpac Securities Administration Ltd & Anor v Australian Securities and Investments Commission [2021] HCA 3. We examine the case.