As part of our aim to be at the forefront of developments in financial services compliance, Sophie Grace contributes to public discussion and media on relevant issues. Below are selected clippings from recent publications.

2022:

• Google Kicks off New Financial Services Ads Policy in Australia What Will Be the Impact?
• Optus Hack: ASIC Warns Market Intermediaries against Possible ‘Fraud’

2021:

• ASIC Brokers Identify Target Markets as New DDO Rules Come into Effect – 5 October 2021
• ASIC Extends Licensing Relief to Foreign Financial Service Providers – 11 June 2021

2020:

• AFS Licence Not Required by Foreign Brokers to Deal with Wholesale Clients – 30 October 2020
• ASIC Surprises FX Industry with Release of Product Intervention – 28 October 2020
• ASIC to Publish Guidance on Product Intervention Measures in June – Finance Magnates – 11 June 2020
• What will Regulation Look Like Post COVID-19? – Finance Magnates – 10 June 2020
• Will COVID-19 Cause ASIC to Delay Leverage Restrictions? – Finance Magnates – 5 May 2020
• Australian Inactive AFSL Holders at Risk of Forfeiting Licenses – Finance Magnates – 23 April 2020
• Will ASIC Delay Leverage Restrictions Amid COVID-19 – Finance Magnates – 23 March
• Best Interests Duty in Life Insurance – Kaplan – 18 March
• ASIC Reminds Retail OTC Firms of Reporting Obligations Amid COVID-19 – Finance Magnates – 13 March
• ASIC to Retail OTC Derivatives Issuers: Be Vigilant Amidst Coronavirus – Finance Magnates – 11 March
• Harsher ASIC Rules Raise Brokers’ Fears – Finance Magnates – 10 March
• Australian Market Growth Amidst Increasing Regulatory Scrutiny – Finance Magnates – 3 March

2019:

• Complying with AML/CTF Obligations in Australia – Regulation Asia – 6 February
• PC Proposal to Require ‘Serious Documentation’ from SMSF Advice Regulation – SMSF Adviser – 24 January
• What ASIC’s New Product Intervention Powers will Mean – Regulation Asia – 11 January

2018:

• ASIC Further Clarifies its Reporting Rules for OTC Derivatives Issuers – Finance Magnates – 18 January
• Finance Magnates London Summit 2018 – The Future of Regulation: APAC and Beyond

2017:

• New Derivatives Regulations in Effect for Issuers to NZ Clients –  Finance Magnates – 1 December
• Brokers Under Increased ASIC Scrutiny – Australian Broker – 20 November
• Digital Adviser: How to Operate Under the Current Regulatory Regime – Lexis Nexis Internet Law Bulletin – 2 September
• Q&A: APRA’s Tightening of Residental Mortgage Lending Practices – Kaplan Professional – 1 August 
• Exclusive: Industry Reacts to Proposed Client Money Reforms in Australia – Finance Magnates – 14 July
• Experts Weigh In on s923A Breach Penalties – IFA – 13 July
• ASIC Down to Final Batch of Limited AFS Applications – SMSF Adviser – 10 July
• ASIC Scrutinising SOA Templates, Warns Lawyer –  SMSF Adviser – 6 July
• Australia: The Place To Do Business! FinanceFeeds Sydney Cup Hosts the Absolute Top Level Senior FX Executives – Finance Feeds – 11 April
• Binary Options and CFDs Firms Must Now Apply for New Zealand License – Finance Magnates – 3 April 
• ‘Shonky’ Operators Eye SMSFs as Trustees Shun Advice – SMSF Adviser – 1 March
• AFSL Application Fee May Skyrocket, Lawyer Warns – IFA – 28 February
• Crowd Sourced Equity Funding – Soon to Become a Reality for Australia – Finance Feeds – 21 February
• Limited AFS Licence Catch 22 – Accountants Daily – 18 February
• Australian Client Money Reforms Take Another Step Closer – Finance Feeds – 16 February 
• Australian Government Moves Quickly to Implement Client Money Reforms – Finance Magnates – 10 February
• ASIC Causing Apprehension for CFD and FX Brokers in 2017 – Finance Magnates – 9 February 
• ASIC Continues to Encourage Fintech Regulation in Australia – Finance Magnates – 18 January 
• Foreign FSPs Facing Minimal Barriers in Australia – Finance Magnates – 12 January 
• Will ASIC Follow Suit and Impose a Leverage Cap on Retail CFD Brokers – Finance Feeds – 11 January
• iFX EXPO Asia 2017 – Challenges & Opportunities for Chinese Brokers

2016:

• Bank of Israel Regulation for Shekel Derivatives Commences in January 2017 – Finance Magnates – 29 December
• Proposed Australia Client Money Shakeups – An Update – The Industry Spread – 16 December 
• The Innovation Hub and the Regulatory Sandbox – Can either help me? – Finance Feeds – 22 November
• Australian Client Money Shakeup – The Industry Spread – 10 November
• Exclusive Analysis: Australia to Shake Up Client Money Rules for OTC Forex & CFDs Brokers – Finance Magnates – 8 November
• Getting to know ASIC’s robo rules – iFA – 1 November
• ASIC Increases Scrutiny on AFSL Holder’s Outsourcing Arrangements – The Industry Spread – 28 October
• ASIC Licensing Timelines – FX – The Industry Spread – 7 September
• AFSLs levied per adviser under ASIC user-pays model, lawyer says – iFA – 15 August 
• The Important Part that ASIC Missed in its New Compliance Report – Finance Magnates – 3 August
• ASICs Latest Report Identifies Trade Reporting Requirements – Finance Magnates – 18 July
• Shaping The Future – Financial Advise Reforms: Part 1 – Australian Lawyers Alliance – 12 July
• Shaping The Future – Financial Advise Reforms: Part 2 – Australian Lawyers Alliance – 12 July
• Accountants facing year-long delays with ASIC – SMSF Adviser – 12 July
• The devil is in the details – Always read the fine print – Finance Feeds – 18 May
• Yes or No_ AFSL Holders Taking Foreign Clients – Finance Magnates – 16 May
• New Zealand’s FSPR Alters Register Requirements – Finance Magnates – 29 April
• Increasing Misuse of AFSLs Attracts Attention of ASIC – Finance Magnates – 14 April
• Japan and Singapore follow fintech-friendly steps after FCA and ASIC deal – Finance Feeds – 1 April
• ASIC Talks to MAS to Strike FinTech deal  Finance Magnates – 11 April
• Why ASX Got on Board with Blockchain – Finance Magnates – 29 March
• The New Requirement from the New Zealand Regulator – Finance Magnates – 28 March
• FCA and ASIC Cement Commitment with Innovation Hubs – Finance Magnates – 24 March
• Peer-to-Peer Lending – ASIC Provides Some Clarity on Regulation – Finance Magnates – 22 March
• Australia’s new Fintech-friendly stance and clashes – Finance Feeds – 22 March
• Supporting Fintech in Australia: Policy Proposals – Finance Magnates – 21 March
• iFX EXPO ASIA – Setting up in ASIA: Fine Print For Regional Success
• All you need to know about China & APAC from the top executives in the entire industry. Live discussion recap from iFXEXPO in Hong Kong – 1 February 
• Tightening Laws around New Zealand Financial Services Providers Register – Finance Magnates – 7 January
• iFX EXPO Asia – CEOs Discuss The Role of Asia in the Trading Market

2015:

• The State of Bitcoin Regulation in Australia – Finance Magnates – 10 December
• Financial Advisers Will Soon Require a University Degree – Finance Magnates – 7 December
• Stronger ASIC powers to affect AFSL buyers – ifa – 4 December
• Catch 22 – How ASIC’s Product Intervention Power Can Stifle Innovation – Finance Magnates – 2 December
• The Australian Government’s Response to the Failed Playtech-Plus500 Deal – Finance Magnates – 30 November
• Australia – December 4 reporting deadline looming – Are you ready? – Finance Magnates – 25 November
• Chinese Investment and AML/CTF Obligations – Finance Magnates – 17 November
• An insight into the life of Sophie Gerber – Finance Magnates – 31 October
• Dodgy financial firms refusing to pay $17 million owed to their victims – The Sydney Morning Herald – 29 October
• ASIC to Sharpen Teeth with Further Regulatory Powers – Finance Magnates – 29 October
• ASIC wants to make it harder to obtain a licence – ifa – 19 October
• ASIC Extends Derivatives Transactions Reporting Implementation Deadline – Finance Magnates – 8 October
• Deadline for Phase 3B OTC Derivatives Issuers Moved to 4 December 2015 – Finance Magnates – 8 October
• October 12 Reporting Deadline Looming – Are You Ready – Finance Magnates – 7 October
• October 12 Reporting Deadline Looming – Are You Worried About Providing Sensitive Data – Finance Magnates – 2 October
• What are the penalties for not reporting? – OTC Derivatives – Finance Magnates – 30 September
• October 12 Reporting Deadline Looming – The Safe Harbour Benefits of Delegated Reporting – Finance Magnates – 24 September
• ASIC Enacts Final Regulations on Single-Sided Reporting for OTC Derivatives – Finance Magnates – 18 September
• OTC Derivatives – October 12 Reporting Deadline Looming – Finance Magnates – September 10
• To Whom Should Australian OTC Derivative Issuers Report – Finance Magnates – 4 September
• Paying ASIC to Do Their Job – Finance Magnates – 26 August
• Will Single-Sided Reporting Relief Help OTC Derivative Issuers – Finance Magnates – 23 August
• Burying the Hatchet – IFA Magazine – 1 August
• Update on SIVs, PIVs and Complying Investments – 2 June
• An in Depth Look at the ASIC Register for Authorised Representatives – Finance Magnates – 13 May
• What Can Clients of Insolvent Ukrainian Broker Forex-Trend Do? – Finance Magnates – 5 May
• How Can Brokers Handle Client Complaints Effectively? – Finance Magnates – 29 April
• Looking Beyond Established Regulatory Jurisdictions – Finance Magnates – 15 April
• New licencing regime for accountants offering SMSF advice – Vistr – 13 March
• A guide to FOS and CIO complaints – ifa – 9 March
• Can Brokers Avoid Regulators’ Crackdown on Copy Trading – Forex Magnates – 6 March
• Lawyer warns accountants on unlicensed advice – AccountantsDaily – 17 February
• Limited AFSL to increase risk of unlicensed SMSF advice
• Accountants – Do you provide SMSF advice to clients? You need an AFSL soon ..
• Accountants hold advice ‘competitive advantage’ – ifa
• Accountants have the competitive edge as financial planners – SMSF Adviser
• Accountants have the competitive edge as financial planner – Vistr
• London Summit 2015 – A Guide to Surviving the Tightening of Global Regulation

2014:

• PI tips for wannabe boutiques – IFA Website – 22 December
• CBA scandal triggers licensing panic – IFA Magazine – 17 July
• Dealing with FOS – IFA Magazine – 3 February
• Tribunal speeds up ASIC appeals – IFA Magazine – 23 January
  

2013:

• Flying solo – A post-FOFA guide to obtaining an AFSL – IFA Magazine – 29 October
• MDAs to aid independent comeback – IFA Magazine – 24 September
• GTL Tradeup goes into liquidation – AFR – 30 September

2012:

• ‘MP speaks with Sophie Gerber in relation to additional detail that has been released recently concerning the provision of the new ‘Significant Investor Visa” – The MP Report – 5th December
• ‘MP talks to Sophie Gerber about capitalising on the new ‘significant investor’ visa laws as of the 24th of November’ – The MP Report – 21st November
• ‘CFD factions back ASIC hurdles’ – Investor Daily – 6th August
• ‘ASIC raises bar for derivatives brokers’ – AFR – 31 July

2011:

• ‘Time for a Review’ – Asset Magazine – September
• ‘The Transition Period’ – Asset Magazine – July
• ‘Right licence, right advice’ – Asset Magazine – May
• ‘Dossier on dodgy clients’ – Asset Magazine – March

2010:

• ‘Navigate the Credit Code’ – Asset Magazine – August
• ‘Changing the Rules’ – Asset Magazine – May