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Hawking: ASIC lands its final guidance for the sale of financial products

Banking & Finance| 27 Sep 2021

Hawking: ASIC lands its final guidance for the sale of financial products

ASIC has released its final guidance on the new hawking regime that commences on 5 October 2021.

Financial Services in Focus – Issue 58

Financial Services| 23 Sep 2021

Financial Services in Focus – Issue 58

In this edition, we consider the final breach reporting regulatory guide, electronic execution and virtual meetings legislation, judicial commentary in relation to an AFS licensee’s supervisory arrangements, and much more.

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.

Financial Services in Focus – Issue 57

Financial Services| 24 Aug 2021

Financial Services in Focus – Issue 57

In this edition, we consider proposed DDO reforms, temporary relief to permit electronic disclosures and virtual meetings, updates to superannuation portfolio holdings disclosure, and much more.