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Financial planning
With Sanlam Private Wealth coming under ASIC pressure regarding the number of responsible managers in its business, law firm Holley Nethercote explores what the role enta...
Financial planning
Financial advice and its associated technology have been identified by industry experts as key hotspots in the Australian M&A landscape. ...
Financial planning
As AFSLs cite cyber security as their biggest compliance fear, a law firm has shared four steps that listed businesses need to take if they suffer a breach....
Financial planning
Financial services lawyers believe the government may have good intentions, but the proposed legislation leaves superannuation trustees targeting an unachievable “standar...
Funds management
Two potential side effects have been flagged around changes to the sophisticated investor test following a recent Treasury consultation, which could see thousands of inve...
Financial planning
A proposal for ASIC criminal trials to be introduced to the Federal Court has received backlash from the Law Council of Australia, which argues the judges lack sufficient...
Policy & Regulation
Proposals to place US or UK-style restrictions on products in the Australian managed investment schemes would be “radical” when ASIC already has significant product inter...
Financial planning
With Australia’s ageing population increasingly at risk of financial abuse, a law firm has shared tips for advisers to look out for in protecting their clients’ finances....
Financial planning
Two-thirds of all licensees are paying over $1 million annually in internal compliance costs, including 13 per cent of those with less than 100 staff and representatives,...
Policy & Regulation
The regulation of financial advice is one of the highest priorities for the Australian Law Reform Commission as it looks to revamp financial services legislation....
Funds management
ASIC is looking to make examples of firms when it comes to greenwashing and taking a forthright position when asking them for changes, according to two lawyers who have d...
Expert Analysis
A move to regulate the Buy Now Pay Later space could have wide-ranging implications and change the investment case for holding the providers in portfolios, writes Ursula ...
Expert Analysis
With the recent spate of data breaches now extending to the financial services industry, AFSLs are racing to ensure that their information management procedures are up to...
People & Products
Law firm K&L Gates has appointed a partner for its asset management and investment fund practice. ...
Policy & Regulation
A former tax partner at PricewaterhouseCoopers has been de-registered as a tax agent for integrity breaches after disclosing details of confidential law reforms....
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Podcast
So we are now underwriting criminal scams?...
Glad to see the back of you Steve. You made financial more expensive, not more affordable as you claim, and presided ...
Completely agree Peter. The definition of 'significant change is circumstances relevant to the scope of the advice' is s...