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Changes for AFSL applicants and updates for foreign AFSL applicants, including guidance on the ‘fit and proper person’ test
The Australian Securities and Investments Commission (ASIC) has made important changes to the requirements for new and current applicants for a ‘full’ …
The Fairness Doctrine: A Return to the Status Quo?
In October 2019, the Full Federal Court decision in ASIC v Westpac Securities Administration Limited [2019] FCAFC 187 (ASIC v Westpac) raised …
ASIC Proposes New Guidance on Ongoing Fee Arrangements
ASIC is proposing to issue guidance on how it will regulate ongoing fee arrangements (OFAs). Depending on the position it takes, these arrangements, …
And finally …. the foreign financial service provider (FFSP) licensing reforms are confirmed
Yesterday, the Australian Securities & Investments Commission (ASIC) released a much anticipated update, setting out its finalised position in …
Directors and ESG disclosure – The risks will only get bigger
With activist investors and NGOs prowling, firms making flimsy ethical claims will increasingly end up in courtIn the context of BlackRock’s climate …
2019 Australian IPO Review: Regulatory developments
In 2019, ASIC and ASX have had a continued focus on enhancing the integrity and corporate governance practices of entities seeking to conduct IPOs, with …
Important changes in the AFSL landscape
The Australian financial services license (AFSL) landscape has just shifted under your feet. The Australian Securities & Investments Commission …
Get ready for the foreign financial services provider (FFSP) reforms
Get ready for an update from ASIC on the expiry of the foreign financial services provider exemptions and the introduction of a new foreign AFSL regime, …
Federal Court provides helpful guidance on a range of AFSL concepts
On 5 February 2020, the Federal Court of Australia handed down its decision in Australian Securities and Investments Commission v One Tech Media Ltd …
FSR consultation package – the 2020 vision
One year on from the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry, the Federal Government has released …
Taking Indonesian finance digital – Recent moves and trends to watch
We round up the latest trends as data and digitisation steps up in Indonesia's finance sectorIn October 2019 Herbert Smith Freehills launched its 2019 …
Financial Accountability Regime to introduce obligations on RSE licensees and insurers
Reforms proposed by the Government this week will impose significant obligations on registrable superannuation entity licensees and insurers. These …
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