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Margin lending

Hall & Wilcox
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Australia
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August 26 2009

On 25 June 2009 the Federal Government introduced the Corporations Legislation Amendment (Financial Services Modernisation) Bill 2009 (Bill) in the House of Representatives

The James Hardie decision: implications for general counsel

Hall & Wilcox
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Australia
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August 25 2009

The recent New South Wales Supreme Court decision of Australian Securities and Investments Commission (ASIC) v Macdonald (No 11) 2009 NSWSC 287 (commonly referred to as the James Hardie decision) serves as a dramatic reminder of the importance of directors' duties in the operation of a board of directors

New ASIC Class Order 101219 - facilitating the electronic delivery of disclosure documents

Hall & Wilcox
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Australia
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December 23 2010

The Australian Securities Investment Commission (ASIC) has released Class Order 101219 (CO 101219) and Regulatory Guide 221 (RG 221

Lessons to be learnt for financial advisers from UBS Wealth Management Australia's enforceable undertaking

Hall & Wilcox
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Australia
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April 21 2011

UBS Wealth Management Australia (UBS WMA) lodged a breach notification with the Australian Securities and Invesements Commission (ASIC) in December 2009

Areas of scrutiny by ASIC for 2011

Hall & Wilcox
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Australia
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April 21 2011

The Australian Securities and Investments Commission (ASIC) has released details on the areas of compliance they will be targeting in 2011

ASIC proposes a new assessment and professional development framework for financial advisers

Hall & Wilcox
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Australia
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April 21 2011

Over the past two years, regulation of the financial planning and advice industry has been at the forefront of the political agenda

Future regulation of financial planners providing tax advice

Hall & Wilcox
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Australia
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April 21 2011

The Assistant Treasurer, Bill Shorten, has released a broad set of principles that will form a basis for developing regulatory arrangements for financial planners who provide tax advice in the course of giving financial advice

Future of financial advice reforms announced

Hall & Wilcox
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Australia
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April 29 2011

On 28 April 2011 the Federal Government issued a media release in which it provided further detail about the direction of the government's 'Future of Financial Advice' (FoFA) reforms

New corporations regulation instalment warrants are financial products

Hall & Wilcox
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Australia
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June 22 2010

The Minister for Financial Services, Superannuation and Corporate Law has released draft regulations that will amend the Corporations Regulations to provide that: Limited recourse borrowing arrangements are financial products under Chapter 7 of the Corporations Act when acquired by superannuation funds which attract licensing and disclosure requirements

New regulations enacted for Simplified PDSs

Hall & Wilcox
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Australia
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July 5 2010

Corporations Regulations 2001 (Cth) (Regulations) were amended on 15 June 2010 to establish a simplified product disclosure statements (Simplified PDS) regime for simple managed investment schemes, superannuation and margin lending products

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