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Sophisticated and Wholesale Investors – Accountant's Certificates and AFS Licensee's Statements
Risky Business: How not to get sued (and what to do if you are sued)
Restraint of trade - sale of accounting business - Full SA Appeal Court
Court decision in respect of diversification of investments, with interesting comments about client use of discount brokers
ASIC successful in restraining financial advice services - property sales group who encourages investors to invest through SMSFs
Restraints of trade - an important protection for employers
Licensee health check: 6 simple questions to check that your representative agreements are up-to-date
Considering purchasing a business or client book? Give yourself the best chance with an exclusive negotiation agreement.
Set-up your own managed fund or property syndicate
Replacement of the “accountants’ exemption” – the limited licence regime
Litigation: Inadvertantly disclosing privileged documents during the discovery process
Halsey Legal Services - Quoted in Investor Daily and Australian Broker Online: How financial advisers who help clients pay off their home loan sooner can fall foul of the ATO
Accountants: Update on the removal of the Accountant's Exemption and the new streamlined process
Halsey Legal Services - Core services including MIS
The importance of file notes
Significant Investor Visa – update to complying investments
Financial Planner found to be not negligent for giving Basis Capital advice - Federal Court decision
BEST INTERESTS DUTY: SELF-MANAGED SUPER FUNDS (SMSFS) AND PLATFORMS
SHAREHOLDER AGREEMENTS: RECENT CASE LAW - COMPULSORILY ACQUIRING THE SHARES OF ANOTHER SHAREHOLDER
ASIC CANCELS AUSTRALIAN CREDIT LICENCE (ACL) FOR INSTANCES OF UNLICENSED SMSF ADVICE
MANAGED INVESTMENT SCHEMES: THE CONTENT REQUIREMENTS OF CONSTITUTIONS OF REGISTERED SCHEMES
CORPORATE GOVERNANCE: CAN INNOCENT PROCEDURAL ERRORS BE REMEDIED?
ONE CLIENT WITH MULTIPLE ENTITIES: WHO RECEIVES THE FEE DISCLOSURE STATEMENT?
CONSUMER CLAIMS AGAINST FINANCIAL ADVISERS: TWO IMPORTANT LESSONS
RISKY BUSINESS: WHY ALL PROFESSIONALS NEED A RISK MANAGEMENT SYSTEM
ASIC ANNOUNCES PROPOSED NEW FINANCIAL REQUIREMENTS FOR MDA OPERATORS
FOS CAN MAKE MULTIPLE CLAIMS AWARDS IN A SINGLE
VICTORIAN COURT SAYS GOODBYE TO JUDICIAL REVIEW OF FOS DECISIONS
EMPLOYEE LEAVE ENTITLEMENTS
DIRECTORS: DOES YOUR COMPANY CONSTITUTION OFFER YOU SUFFICIENT PROTECTION?
RELIEF FOR INSUREDS: CHANGES TO THE INSURANCE CONTRACTS ACT MEAN THAT INSURERS WILL BE UNABLE TO RELY ON UNFAIR TERMS
APPROVED PRODUCTS LIST (APL): WHY VERSION CONTROL IS SO IMPORTANT
NEW FINANCIAL REQUIREMENTS FOR RESPONSIBLE ENTITIES
DIRECTORS AND OFFICERS: TRANSFERRING RISK WITH DEEDS OF INDEMNITY
CONFLICTED REMUNERATION – TIME TO REVIEW YOUR REPRESENTATIVE AGREEMENTS
FOFA WATCH - NEW REGULATIONS - SOME WITH IMMEDIATE APPLICATION
CLIENT REGISTER SALES - GRANDFATHERING OF CONFLICTED REMUNERATION - ASIC PUBLISHES ITS CURRENT POSITION
ROUND UP OF OTHER ASIC RELATED MATTERS
ASX UPDATE RE CONTINUOUS DISCLOSURE
A VICTORY FOR ACCOUNTANTS AND FINANCIAL PLANNERS: NSW SUPREME COURT FINDS EXPERIENCED INVESTOR SHOULD HAVE KNOWN BETTER
CHANGES TO THE FAIR WORK ACT
ARE YOU PROTECTED? TRANSFERRING RISK WITH D&O INSURANCE
BANKSIA - DEBENTURES
ACCOUNTANTS' LICENSING EXEMPTION EXTENDED
FOFA WATCH - LESS THAN EIGHT MONTHS TO GO
Round up of other ASIC related matters
Relying on information from clients, accountants or other third parties
Reminder about new financial resource requirements for responsible entities
MIS - will all constitutions of registered schemes require amendment?
Protection for Directors - insurance, deeds of indemnity and constitutions
FOFA Watch
Round up of other ASIC related matters - Governance, Product, FOFA, EDR Schemes
Licensee Solutions' commercial services offering
ASIC actions against AFS licensees - alleged transfer of client registers to avoid claimants
An insurer's failure to notify of the expiration of contracts of general insurance
Adviser takes FOS to Court - Broad principles considered in the
Financial requirements for general insurance brokers
Directors' duties: Control and understand the flow of management information
How will FOFA affect the value of existing financial services businesses?
