Showing 36 out of 50 results
Big data is transforming investigations
Big data is rapidly changing the way in which regulators and law enforcement conduct an investigation and build a case. New technology reduces compliance …
FinReg Insights – The 2020 Outlook
Our financial services team surveys the landscape and highlights the themes that will define the regulatory agenda through 2020Global outlook The …
To infinity and beyond: The Fairness Doctrine
The implications of the recent Full Federal Court decision in ASIC v Westpac Securities Administration Limited [2019] FCAFC 187 (ASIC v Westpac) are …
ASIC unveils new licensing framework for foreign financial services providers
Executive summary Today, the Australian Securities & Investments Commission (ASIC) has released Consultation Paper 315 Foreign financial services …
Can your insurer rely on an insolvency exclusion?
Insolvency exclusion in D&O policy did not apply to claim by DOCA Administrators for breach of directors’ general duties.Key takeaways In a recent …
Product Intervention Powers and Design and Distribution Obligations in Financial Services: A cross-border perspective
Many regulators view their ability to intervene as one of their key supervisory tools to reduce harm in cases where there is a risk of significant …
Accessing a deregistered policyholder’s cover, and the need to consider exclusions carefully in context
A recent case1 in the financial services sector illustrates that: A counterparty being deregistered is not the endpoint for insurance claims. …
Superannuation and group life insurance
The Royal Commission was widely expected to bring the superannuation industry to its knees, and certainly there are findings that make sobering …
Financial Advice and Distribution
The Final Report of the Royal Commission has been released and its recommendations will fundamentally change financial advice and the distribution of …
The Regulators
The Final Report has been released and for those who followed the public hearings, the recommendations are not surprising. The regulators, ASIC and APRA, …
Community expectations are here to stay
To deny the role that community expectations will play post-Royal Commission is, with respect, a flat-Earther perspective.One of the most significant …
Fund and asset management: Getting back to basics
The Final Report contains a series of recommendations which, when implemented, will require fund and asset management firms to reassess their …
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