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ASIC begins consultation on updated competence requirements for advice licensees
  • Hall & Wilcox
  • Australia
  • November 13 2018

On 8 November, ASIC announced via the release of a consultation paper that it is inviting input on proposed updates to their organisational competence

ASIC releases new instrument regarding financial adviser professional standards reforms
  • Hall & Wilcox
  • Australia
  • October 17 2018

On 10 October, ASIC released a new legislative instrument, ASIC Corporations (Professional StandardsTransitional) Instrument 2018894, relating

UPDATE: ASIC finalises guidance on approval and oversight of compliance schemes for financial advisers
  • Cowell Clarke
  • Australia
  • October 10 2018

ASIC’s Regulatory Guide 269: Approval and oversight of compliance schemes for financial advisers (“RG 269”) was released on 28 September 2018. It

OCIE Risk Alert Highlights Adviser Best Execution Deficiencies
  • Kilpatrick Townsend & Stockton LLP
  • USA
  • September 20 2018

Investment advisers, as fiduciaries, have an obligation to seek “best execution” of client transactions when selecting broker-dealers and executing client trades. This duty to seek

Financial advisor pleads guilty to money laundering in PetroEcuador case
  • Buckley Sandler LLP
  • USA
  • September 18 2018

On September 11, a Miami-based financial advisor pleaded guilty to one count of conspiracy to commit money laundering in connection with his role in

Fees for no service: Financial advice institutions refund programs
  • Cowell Clarke
  • Australia
  • September 7 2018

AMP, ANZ, CBA, NAB and Westpac have paid or offered customers $222.3 million in refunds and interest for charging fees to customers while failing to

ETF Roundup - Issue 4
  • Morgan Lewis
  • USA
  • August 13 2018

The US Securities and Exchange Commission (SEC) voted unanimously on June 28 to propose Rule 6c-11 under the Investment Company Act of 1940 (1940 Act)

Equity Capital Markets in Mexico
  • Von Wobeser y Sierra SC
  • Mexico, Global
  • July 31 2018

A structured guide to equity capital markets in Mexico

FASEA releases draft examination guidance
  • Hall & Wilcox
  • Australia
  • July 23 2018

On 11 July, the Financial Adviser Standards and Ethics Authority (FASEA) released draft guidance, Consultation Paper 3: Financial Adviser Examination

OCIE Issues Risk Alert on Issues Related to Best Execution by Investment Advisers
  • Drinker Biddle & Reath LLP
  • USA
  • July 23 2018

The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) identified common deficiencies cited in