A summary of regulatory requirements for statements of advice

A summary of regulatory requirements for statements of advice

As noted in our previous article, a statement of advice is the main document that records advice provided to retail ...
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An introduction to Financial Product Advice

An introduction to Financial Product Advice

Financial advice is regulated under the Corporations Act 2001 (Cth) as financial product advice. The provision of financial product advice ...
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A deeper look at the AFS licence application process

A deeper look at the AFS licence application process

As we noted in our previous article there are five parts to form FS01. Below we describe these in more ...
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Steps to obtain an AFS Licence

Steps to obtain an AFS Licence

Regulatory guides are published by ASIC to give guidance to regulated entities by explaining when and how ASIC will exercise ...
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Webinar – Two New Codes for Banking and Lending

In our recent webinar focusing on the finance industry, regulatory specialist Dr Drew Donnelly consider two new codes for banking ...
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The Compliance HUB A Guide Homescreen

Webinar – The Compliance HUB – A Guide

In this webinar, Compliance Quarter founder Connor James provides an in-depth guide to the Compliance HUB software and its features ...
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Unfair Contract Terms

Unfair Contract Terms

In March 2018, the Australian Securities and Investment Commission (ASIC) published REP 565 (found here: https://asic.gov.au/regulatory-resources/find-a-document/reports/rep-565-unfair-contract-terms-and-small-business-loans/), which outlines changes to ...
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New ASIC Guidance for the Fund Management Industry – Push on Compliance

New ASIC Guidance for the Fund Management Industry – Push on Compliance

The Australian Securities & Investments Commission (ASIC) has just released a batch of guidance for fund management in Australia.[1] In ...
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How do I work out my compliance spend?

How do I work out my compliance spend?

In the just released final report of the Australian Competition & Consumer Commission (ACCC) retail electricity pricing inquiry[1], energy retailers ...
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Consumer data right - speech by Rod Sims Chairman of the ACCC

Consumer data right – speech by Rod Sims Chairman of the ACCC

The Australian Competition and Consumer Commission (ACCC) Chair Rod Sims has delivered a speech to the National Consumer Data Policy ...
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Solar Panel installation - PPAs compliance challenges

Power Purchase Agreements – PPAs – new compliance challenges webinar

Solar Power Purchase Agreements are on the rise in Australia. Solar PPAs are regulated primarily through AER's (and in Victoria, ...
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What is the new Financial Benchmark Regime?

What is the new Financial Benchmark Regime?

On 12 June the Australian Securities & Investments Commission (ASIC) announced the final regulatory regime for Financial Benchmarks. This regime, ...
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Distributed Generation

Should Australia follow Argentina and introduce a National Regime for Distributed Generation?

One year ago, I arrived in Buenos Aires for the first time. Heading to a salsa club in the fashionable ...
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Fintech and Regtech Developments – March, April, May 2018

Fintech and Regtech Developments – March, April, May 2018

We last summarised regulatory changes for financial and regulatory technology (fintech and regtech) in February.[1] Since then there have been ...
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GDPR: The Legitimate Interests test

GDPR: The Legitimate Interests test

On 25 May the EU General Data Protection Regulation (GDPR) came into force. If you need help in working out ...
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