Are you FOFA ready? The conflicts priority rule - putting your client first *

Australia - April 24 2013
Mandatory compliance with the Australian Government's Future of Financial Advice (FOFA) legislation is quickly approaching with a 1 July 2013…

Co-authors: Eibhlin McBride, Samantha Carroll.

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Code red: less than 30 days to comment on draft Credit Reporting Code of Conduct *

Australia - April 8 2013
A draft Credit Reporting Code (CR Code) was released for public consultation on Friday with comments due by 5 May 2013. This draft supplements…

Co-authors: Samantha Carroll, David Kreltszheim, Steven Klimt, Narelle Smythe, Jason Shailer.

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Fe fi FOFA *

Australia - March 6 2013
Following completion of its consultation process, ASIC released its regulatory guide relating to conflicted remuneration, ASIC RG 246 Conflicted…

Co-authors: Natasha Davidson, Matthew Daley.

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Upcoming changes affecting liability of AFS licensees and directors for their representatives' actions *

Australia - March 5 2013
Actions of rogue employees and representatives can in some extreme circumstances lead to directors of Australian Financial Services Licensee…

Co-authors: Mark Teys.

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Point of sale review - is its NCCP exemption about to go? *

Australia - February 14 2013
Bringing vendor introducers within the ambit of the NCCP Act's application would subject vendor introducers to an array of new conduct and disclosure…

Co-authors: Samantha Carroll.

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