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Results: 1-9 of 9

ASIC releases updated policy guidance on administrative action against financial services providers

  • Piper Alderman
  • -
  • Australia
  • -
  • September 7 2012

ASIC has updated Regulatory Guide 98: Licensing: Administrative action against financial services providers to reflect changes to its policy on when and how ASIC may take administrative action against financial services licensees

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

Priority of mortgagee interests: unfair leapfrogging or legitimate jumping?

  • Piper Alderman
  • -
  • Australia
  • -
  • August 7 2012

The decision of the Queensland Supreme Court in Sucrogen Australia Pty Ltd v Westpac Banking Corporation & Anor (2012) QConvR 540-776 sets out the circumstances in which lower-ranking secured creditors may obtain higher priority

The future of financial advice: the devil will (probably) be in the detail

  • Piper Alderman
  • -
  • Australia
  • -
  • July 22 2011

In the aftermath of high profile corporate collapses resulting in significant losses for Australian investors acting on financial advice, the Parliamentary Joint Committee on Corporations and Financial Services launched an inquiry into the financial planning industry

FOFA reforms

  • Piper Alderman
  • -
  • Australia
  • -
  • November 8 2012

As part of the FOFA reforms, recent amendments have been made to the Corporations Act which impose two statutory obligations on any individual (the provider) who provides personal advice to a retail client

Fiduciary duties of financial advisors

  • Piper Alderman
  • -
  • Australia
  • -
  • November 8 2012

Although it is hard to understand how this view could have arisen, there was a view amongst some members of the financial planning industry that financial planners did not owe fiduciary duties to their clients

Stamp duty abolition timetable extended again

  • Piper Alderman
  • -
  • Australia
  • -
  • June 27 2012

The NSW Government has once again extended the timetable for abolition of stamp duty on unlisted marketable securities, mortgages and transfer of non-land business assets for another 12 months

Fee disclosure statements new ASIC regulatory guide RG 245

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

Under new rules which will come in to operation from 1 July 2013, Australian Financial Services (AFS) licensees and representatives of AFS licensees