ASIC takes aim at the distribution of OTC derivatives and other high-risk products to retail clientsSeptember 6, 2023 ASIC is taking aim at the broad distribution of over-the-counter…
Your AFS Licensee Obligations: What You Need to KnowSeptember 1, 2023 Unfortunately, the hard work does not stop after you complete…
Varying or Cancelling your AFSLAugust 22, 2023 /*! elementor - v3.13.3 - 28-05-2023 */<br /> .elementor-heading-title{padding:0;margin:0;line-height:1}.elementor-widget-heading…
ASIC’s ‘use-it-or-lose-it’ AFSL cancellation powers not confined to ‘warehousing’August 10, 2023ASIC'S 'USE-IT-OR-LOSE-IT' AFSL CANCELLATION POWERS NOT CONFINED…
ASIC extends transitional relief for foreign financial services providersAugust 10, 2023 ASIC is extending for a further 12 months the transitional relief…
Do you need an AFS Licence? Answering the Complex QuestionsJuly 25, 2023 AFSL requirements are complex, and requirements and authorisations…
APRA and ASIC commence early consultation on FARJuly 25, 2023 The Australian Prudential Regulation Authority (APRA) and the…
Do investment managers give personal advice?March 23, 2023Most probably do.There is a common fallacy in the investment…
Do you need an AFS Licence (AFSL) even if all your clients are offshore?March 22, 2023If you have ever wondered whether you need an Australian…
Managed funds amend their marketing following ASIC surveillanceSeptember 8, 2022A recent ASIC surveillance found that some fund managers must…
ASIC takes aim at the distribution of OTC derivatives and other high-risk products to retail clients
Your AFS Licensee Obligations: What You Need to Know
Varying or Cancelling your AFSL
ASIC’s ‘use-it-or-lose-it’ AFSL cancellation powers not confined to ‘warehousing’
ASIC extends transitional relief for foreign financial services providers
Do you need an AFS Licence? Answering the Complex Questions
APRA and ASIC commence early consultation on FAR
Do investment managers give personal advice?
Do you need an AFS Licence (AFSL) even if all your clients are offshore?
Managed funds amend their marketing following ASIC surveillance