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ASIC will also take into account whether a fit and proper person has been the subject of crimes such as serious fraud.

This judgement provides guidance and clarification on several aspects and tests of wholesale client eligibility.

Confidential, pre-announcement market soundings in advance of a capital raising are an area of concern for ASIC.

With few initial details and extensive consultation, the plan to give ASIC new enforcement tools is highly ambitious.

AUSTRAC's analysis won't be news to many in the banking sector, but it is a comprehensive account of the level of risk.

Michael Palfrey and James Stellios look at whether a refusal to make an act of grace payment is subject to judicial review.

The Situation: The Full Court of the Federal Court has changed industry practice in Badenoch Integrated Logging Pty Ltd v Bryant, in the matter of Gunns Limited (in liq)...

Creditors should also consider this case when obtaining payment, if their customers are suffering from insolvency issues.

ASIC has new powers to reinforce the integrity and reputation of the financial services industry due to FOFA reforms.

Opt-in and fee disclosure is a two yearly opt-in arrangement and annual fee disclosure for clients paying ongoing fees.

The proportionate liability regime in the Corporations Act is limited to claims for misleading or deceptive conduct.

The High Court found that the litigation funder was not providing a financial service, so did not need a AFS Licence.

Discusses recent case where the UK Financial Ombudsman had to determine whether the financial adviser was responsible for the loss caused by a scam.

This week’s TGIF considers the recent decision of the Queensland Supreme Court in White Rook Pty Ltd v White Horizon Pty Ltd (No 2) [2026] QSC 86 where the Court applied proportionality principles and reduced a court-appointed receiver’s remuneration by 15%.

The Australian Securities and Investments Commission (ASIC) recently released a Consultation Paper on the regulation of internet discussion sites which contain commentary about financial products and services.

Implementing an effective privacy management framework is a critical governance issue in the financial services industry.

If your organisation meets the definition of an Australian Financial Institution, then FATCA could apply to you.