Legal Updates
Find the latest changes in the legal landscape that potentially affect your business. From changes in legislation and case law to regulatory reforms, at Ashurst we're able to support you on key legal developments.
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19 Results
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Financial Services Update
21 Dec 2022 Key insights into the ASIC's new derivatives transaction reporting rules
Authors: Jonathan Gordon, Partner and Nicky Thiyavutikan, Senior associate
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Financial Services Update
14 Sep 2022 From acting in the best interest to providing good advice – the future of the Future of Financial Advice obligations
Authors: Corey McHattan, Partner; Nicky Thiyavutikan, Senior Associate; and Caitlin Murphy, Associate
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Financial Services Update
02 Aug 2022 ASIC officially extends FFSP exemptions for another year
Authors: Jonathan Gordon, Partner; Corey McHattan, Partner; Nicky Thiyavutikan, Senior Associate and Conor Tarpey, Lawyer
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financial services update
17 Mar 2022 Responding to digitisation and automation: Amendments to the ASIC Market Integrity Rules
Authors: Nicky Thiyavutikan (Senior Associate); Jack Collins (Associate); and Caitlin Murphy (Associate)
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Financial Services Update
23 Feb 2022 Update on AFSL exemptions for foreign providers and fit and proper requirements for foreign licensees
A Bill which seeks to provide licensing and regulatory relief to FFSPs has been introduced to Parliament. This FSU provides an overview of the key exemptions…
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Financial Services Update
21 Dec 2021 Draft legislation on licensing relief and fast-tracked licensing process for foreign financial services providers (FFSPs)
Authors: Jonathan Gordon, Partner; Corey McHattan, Partner; Nicky Thiyavutikan, Senior Associate and Cindy Lam, Lawyer
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Financial Services Update
13 Jul 2021 Treasury consults on proposed changes to FFSP licensing regime
Authors: Jonathan Gordon, Partner; Corey McHattan, Partner; Lisa Simmons, Partner; Con Tzerefos, Partner; Nicky Thiyavutikan, Senior Associate; Cindy Lam,…
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Financial Services Update
23 Dec 2019 Issuers and distributors of financial products must comply with the design and distribution obligations
From 5 April 2021, issuers and distributors of financial products must comply with the design and distribution obligations (DDO), which were introduced in Pt…
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Financial Services Update
19 Dec 2018 Curtain comes down on ASIC licensing exemptions for offshore regulated entities
Authors: Jonathan Gordon, Partner; Corey McHattan, Partner; Lisa Simmons, Partner; and Nicky Thiyavutikan, Senior Associate
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Financial Services Update
08 May 2018 ADI Licensing – Restricted ADI Framework
APRA has finalised its licensing framework for "restricted ADIs". Under the new restricted licensing route, eligible applicants will be granted a Restricted…
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Financial Services Update
12 Oct 2017 Final derivatives retail client money reporting rules
Ashurst updates on the ASIC Client Money Reporting Rules 2017 (Client Money Rules). The new rules will take effect from 4 April 2018.
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financial services update
19 Jul 2017 APRA to shine light on the shadows: New powers targeted at non-bank lenders
On 17 July 2017, Treasury released draft legislation, the Treasury Laws Amendment (Non-ADI Lender Rules) Bill 2017 (Draft Bill), for public consultation. The…
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TRENDING IN FINANCE
09 May 2017 APRA proposes to recognise substituted compliance for seven foreign jurisdictions
On 9 May 2017, the Australian Prudential Regulation Authority (APRA) released for consultation a draft Prudential Standard CPS 226 Margining and risk…
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Financial Services Update - AUSTRALIA
07 Sep 2016 ASIC publishes new guide on digital financial advice
ASIC has published Regulatory Guide RG255, "Providing digital financial product advice to retail clients" (RG255), following a period of consultation.
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01 Mar 2016 Proposed law reform | client money and derivatives
What you need to know The Federal Government has proposed amendments to the Corporations Act and Regulations governing the handling of client money by…
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Financial Services Update
10 Sep 2015 Final Regulations for single-sided reporting
What you need to know The final Regulations on single-sided reporting have some notable differences to the original proposals which were previously…
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17 Jun 2015 Single-sided reporting for Phase 3B and movement on mandatory clearing
ASIC and Treasury have released consultation papers on single-sided reporting relief and mandatory clearing of OTC derivatives. Single-sided relief will…
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21 May 2015 Product Governance – Lessons from the UK model
The Final Report of the Financial System Inquiry recommended that a targeted and principles-based product design and distribution obligation be introduced in…
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13 Apr 2015 ASIC’s 3 C’s message on conduct risk
Following the results of its conduct risk questionnaire, ASIC has announced its ‘3 C’s’ message on conduct risk covering communication, challenge and…
