Compliance Articles

Showing 1 to 10 of 20 articles:
Gavin Stuart
GAVIN STUART , EMMA BOYCE , JAMES DUFF  |  THURSDAY, 28 MAR 2024
This paper examines the role of AFCA, the complaints process, and the powers and remedies available to AFCA with a focus on consumer complaints against lenders. In this piece, we provide an overview of AFCA generally as well as a detailed analysis of ... Read more
Vincent Giang
KATIE WOOD , MATT SPAIN , VINCENT GIANG , ASHLEIGH RUSSO , NICK WIGNEY  |  FRIDAY, 9 FEB 2024
With the compulsory superannuation regime and seemingly endless growth of retirement savings in Australia, it comes as little surprise that superannuation funds have and will continue to face increased scrutiny in 2024, with ASIC making its position ... Read more
Simun Soljo
SIMUN SOLJO , ALLY CROWTHER  |  FRIDAY, 19 JAN 2024
This paper provides a short overview of the Final Response. Following a period of consultation it is expected to progress to draft legislation towards the end of 2024. Read more
Phil Turner
PHIL TURNER , SILVANA WOOD , RICHARD HARRIS , TOM BRETT  |  FRIDAY, 3 NOV 2023
This paper sets out the most interesting observations from an analysis of how the obligations under the FAR compare to existing obligations for RSE licensees. Read more
Ian Newbert
IAN NEWBERT  |  FRIDAY, 6 OCT 2023
This annual test is intended to hold registrable superannuation entities (RSE licensees) to account for product underperformance through greater transparency measures and increased consequences. Read more
Rohit Rao
ROHIT RAO  |  FRIDAY, 25 AUG 2023
This paper reproduces a Q&A podcast conducted by Financial Standard between senior journalist Cassandra (Cassie) Baldini and Ernst and Young Asia Pacific financial services cybersecurity leader, Rohit Rao. Read more
Michael Vrisakis
MICHAEL VRISAKIS , TAMANNA ISLAM  |  FRIDAY, 23 JUN 2023
Sections 12BF-12BM of the Australian Securities and Investments Commission Act 2001 (ASIC Act) contain provisions designed to protect consumers and certain small business in respect of unfair contract terms (UCT regime) in relation to their application ... Read more
Ian Newbert
IAN NEWBERT  |  FRIDAY, 9 JUN 2023
As is the case at the commencement of each financial year, 1 July 2024 brings the indexation of some superannuation caps and thresholds along with the implementation of several other legislated changes to superannuation. Read more
Kendra Turner
MICHAEL CHAAYA , LIZZIE KNIGHT , KENDRA TURNER  |  FRIDAY, 28 APR 2023
This paper will explore the potential impacts a draft objective will have on the superannuation industry, and what benefits legislating an objective may bring. Read more
Australian Prudential Regulation Authority
Superannuation trustees have long outsourced services, such as administration and investment management functions, to external providers. Read more
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