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Results: 1-10 of 242

ASIC issues clarifications for foreign financial service providers applying for AFSL-exemptions

  • Baker & McKenzie
  • -
  • Australia
  • -
  • March 26 2015

Foreign financial service providers regulated by certain overseas regulators who wish to provide financial services to wholesale clients in Australia

High Court to resolve proportionate liability stalemate

  • McCabes
  • -
  • Australia
  • -
  • March 12 2015

This case concerns Mr and Mrs Selig who sought and relied on financial advice provided by Mr Bertram, an authorised representative of Wealthsure Pty

Australia's financial systems under the spotlight

  • Bird & Bird
  • -
  • Australia
  • -
  • March 4 2015

In December 2014 the final report of the inquiry into Australia’s financial systems, commissioned by the Government in 2013, was released. The report

2015 rings in changes to the FOS Terms of Reference

  • Carter Newell
  • -
  • Australia
  • -
  • February 28 2015

Following stakeholder consultation during 2014, the board of the Financial Ombudsman Service (FOS) has amended its Terms of Reference

Financial System Inquiry: Final Report released

  • Gilbert + Tobin
  • -
  • Australia
  • -
  • February 25 2015

The Financial System Inquiry led by David Murray (Murray Inquiry) released its final report on 7 December 2014 (Final Report) with the aim of

Bigger sticks, smaller budget: ASIC's enforcement in 2015

  • Allens
  • -
  • Australia
  • -
  • February 25 2015

In 2014, the Australian Securities and Investments Commission (ASIC) was chastened by the Senate Economics References Committee, which wants ASIC to

New financial adviser register

  • Minter Ellison
  • -
  • Australia
  • -
  • February 20 2015

A new year brings new regulation with the making of the awkwardly titled and surprisingly complex Corporations Amendment (Register of Relevant

ASIC enforcement actions Q4 2014: is an increase in penalties on the cards?

  • Norton Rose Fulbright Australia
  • -
  • Australia
  • -
  • February 19 2015

ASIC has recently released its quarterly enforcement report detailing enforcement outcomes between 1 July 2014 and 31 December 2014. The report

International regulatory update - 9 - 13 February 2015

  • Clifford Chance LLP
  • -
  • Australia, European Union, Germany, South Korea, USA
  • -
  • February 17 2015

The EU Council's Permanent Representatives Committee (COREPER) has agreed the EU Council's negotiating stance on the proposed regulation on indices

Financial System Inquiry final report issued

  • Gilbert + Tobin
  • -
  • Australia
  • -
  • January 30 2015

The Financial System Inquiry's final report (issued on 7 December 2014) makes 44 recommendations to improve the efficiency, resilience and fairness