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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.

Case summary | ASIC v Commonwealth Bank of Australia and Colonial First State Investments Limited

Financial Services| 15 Jul 2020

Case summary | ASIC v Commonwealth Bank of Australia and Colonial First State Investments Limited

It is no secret that the big four banks garnered negative attention at the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry. Our Financial Services and Superannuation teams examine a case arising from the Royal Commission, ...

Royal Commissioner Kenneth Hayne’s interim report

Financial Services| 31 Oct 2018

Royal Commissioner Kenneth Hayne’s interim report

Royal Commissioner Kenneth Hayne’s interim report contains no specific recommendations, and no draft recommendations, but rather postulates two main questions for further consideration: