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ASIC to be Granted New Powers to Cancel Unused Australian Financial Services and Credit Licences

This week the Australian Government released draft legislation for public comment as ...

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The AFSL Audit Deadline is Fast Approaching – What Documents are you Required to Submit?

The submission date (generally 31 October, but double check below) for your AFSL audi...

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It’s time to complete your Business Activity Metrics for 2018-19

On 26 June 2019, ASIC published the indicative industry sector levies for Financial Y...

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ASIC’s New AFS Licensing Requirements

In July 2019, ASIC released Information Sheet 240 AFS licensing – Requirements for ...

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Product Intervention: ASIC’s First Use of the New Power

ASIC’s Product Intervention Powers commenced on 6 April 2019 with amendments to the...

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Conflicted Remuneration – ASIC Commences First Proceedings

ASIC has commenced legal proceedings in the Federal Court in what is the first action...

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Common Breaches and ASIC’s Enforcement Action

ASIC has taken action to cancel the AFS licence of two Sydney based AFS licensees rec...

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ASIC Streamlines Retail OTC Derivative Client Money Reconciliation Reporting Processes

From 1 July 2019, all retail Over The Counter (OTC) derivative issuers are required t...

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