1-10 of 69 results
Enforcement and litigation risk in insurance 2021
There is a growing appetite for litigation and regulatory enforcement in the insurance industry. In the wake of the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry (the Financial Services ...
ASIC's Regulatory Guide 274: product design and distribution obligations
Webinar: ASIC's Regulatory Guide 274: product design and distribution obligations ...
Financial services regulation: what you need to know now and what's changing
Webinar: Financial services regulation: what you need to know now and what's changing ...
Financial services regulatory update
Webinar: Financial services regulatory update: Secret commission offence provisions for SFTs; derivatives regulation and ASIC's Reportable Situations Regime ...
Key changes from ASIC and AFCA on financial services regulation
Webinar: Key changes from ASIC and AFCA on financial services regulation ...
ASIC 2024 enforcement priorities
On 21 November, at the ASIC Annual Forum 2023, ASIC Deputy Chair Sarah Court announced ASIC's enforcement priorities for 2024. The Deputy Chair also addressed ASIC's regulatory enforcement approach generally, by reference to recent criticisms levelled at the regulator. ...
Whistling in the wind: clarification on the limited retrospective application of the corporate and tax whistleblower protection regime
The Full Court of the Federal Court of Australia has unanimously determined that the updated whistleblower protections that came into effect on 1 July 2019 do not apply to detrimental conduct engag ...
ASIC and APRA announce strategic priorities
In this Insight, we consider the key trends, similarities and differences we have observed across ASIC and APRA's Corporate Plan. We also explain what to expect on the regulators' supervision and enforcement agendas in the near future. ...
MAC conditions: more disclosure but no real change to market practice
MAC conditions have long been a feature of managing completion risk in public M&A transactions in Australia—utilising triggers based on either or both quantitative and qualitative measures. However, in 2022 ASIC published its concerns on the formulation of these conditions and, in particular, its expectation that MAC conditions include objective and 'quantifiable' triggers. ...
ASIC spotlight on compliance with client money rules in superannuation
ASIC has recommended all superannuation trustees should review their compliance with s1017E of the Corporations Act after a thematic review found widespread 'deficiencies'. ...