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Results: 1-10 of 86

Back to the future: FOFA Financial Advice proposals defeated

  • Piper Alderman
  • -
  • Australia
  • -
  • December 18 2014

With the blocking in the Senate of the Government's proposed amendments to the Future of Financial Advice legislation by the Opposition together with

The Centro experience twelve months later

  • Piper Alderman
  • -
  • Australia
  • -
  • August 14 2012

It has been twelve months since Justice Middleton of the Federal Court of Australia delivered his judgments on liability and penalties in ASIC’s case against the Centro directors

ASIC’s Regulatory Guide 247: effective disclosure in an operating and financial review

  • Piper Alderman
  • -
  • Australia
  • -
  • September 20 2013

On 27 March this year, ASIC released Regulatory Guide 247 which aims to guide and assist listed entities, their directors and preparers of Operating

Joint venture security: PPS transitional period ends

  • Piper Alderman
  • -
  • Australia
  • -
  • February 21 2014

On 31 January 2014 the transitional period under the Personal Property Securities Act 2009 (Cth) came to an end. Most would be aware the Personal

Backdoor listings -tips for a smooth transaction

  • Piper Alderman
  • -
  • Australia
  • -
  • September 24 2014

Following an increase in the recent number of backdoor listings on the ASX, ASIC has raised several concerns in relation to these transactions. These

Financial product risk disclosure including for wholesale clients

  • Piper Alderman
  • -
  • Australia
  • -
  • February 22 2013

Some important principles concerning risk disclosure arise out of the recent decisions in the Federal Court of Wingecarribee Shire Council v Lehman

Have you duly undertaken due diligence?

  • Piper Alderman
  • -
  • Australia, New Zealand
  • -
  • October 31 2014

A recent decision in the High Court of New Zealand, Houghton v Saunders 2014 NZHC 2229 , may provide helpful guidance to directors of Australian

ASIC releases draft regulatory guidelines on advertising financial products and advice services

  • Piper Alderman
  • -
  • Australia
  • -
  • September 30 2011

ASIC recently released a consultation paper dealing with best practice guidance for the advertising of financial products and financial advice

When does the provision of information or scaled advice become personal advice?

  • Piper Alderman
  • -
  • Australia
  • -
  • February 22 2013

Understanding whether or not personal financial product advice is being given will become even more important under the new FOFA rules that come into

ASIC spotlight on breaches of corporate disclosure

  • Piper Alderman
  • -
  • Australia
  • -
  • May 11 2012

On 3 May 2012 the High Court, delivered an appeal judgement upholding the original findings against, at first instance the directors of James Hardie Limited for misleading conduct