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Last week, the Administrative Appeals Tribunal (AAT) overturned a banning order imposed by ASIC on Mr Lance Rosenberg, a director of Tricom Equities Limited (Tricom), from providing any financial services for a period of 4 years. While the decision may be open to review, some interesting comments were made.

ASIC Consultation Paper 315 also implements a foreign licensing regime and introduces new funds management relief.