DDO Enforcement: ASIC issues first DDO stop orders

ASIC’s recent enforcement action in relation to the Design and Distribution ("DDO") regime is a wakeup call for licensees who are issuers of financial products to retail clients. ASIC has used its powers to place interim stop orders on multiple financial firms, preventing these firms from issuing financial products to retail investors. ASIC’s enfor...

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Alicia Pevely

An integral member of the Sophie Grace team since 2012, Alicia has extensive experience in relation to financial services law, consumer credit law, regulatory matters and ASIC investigations. Working closely with her clients, Alicia has maintained a significant emphasis on AFS and credit licensing and liaising with ASIC. As General Manager, Alicia has oversight of all licence applications and provides advice and support in relation to more complex applications.

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