Compliance Articles

Showing 51 to 55 of 55 articles:
Claire Wivell Plater
CLAIRE WIVELL PLATER , SONIA CRUZ  |  FRIDAY, 19 OCT 2018
There are four things that you need to do after 1 July 2013 when providing personal advice to retail clients - in addition to the disclosure requirements. The four things include (note: the italicised items are new) Read more
Vince Battaglia
VINCE BATTAGLIA  |  FRIDAY, 20 JUL 2018
Possible law reforms are on the agenda following the conclusion of the second round of hearings of the Financial Services Royal Commission. We identify the trends arising from the Royal Commission and look at them in the context of other current law ... Read more
GERARD MAGNER , MELANIE YOUNIS  |  TUESDAY, 1 JAN 2008
The collapse of the Westpoint group and the loss of many millions of dollars of investors' funds has been the subject of much publicity. ASIC has recently announced that it will commence legal action to recover damages on behalf of investors in ... Read more
JOHN BASSILIOS , HARRY NEW  |  MONDAY, 1 JAN 2007
A new regulation has been recently introduced in relation to AFSL holders' compensation requirements under section 912B of the Corporations Act while ASIC has released a consultation paper on how it intends to administer the compensation requirements ... Read more
PAM MCALISTER  |  MONDAY, 1 JAN 2007
One of the policy objectives of the financial services licensing regime is to ensure the competency of the licensee and its representatives to provide the financial services authorised under an Australian Financial Services License (AFSL). This objective ... Read more
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