Ethics & Governance Articles

Showing 21 to 30 of 66 articles:
Ally Crowther
ALLY CROWTHER  |  FRIDAY, 3 JUL 2020
Allens said at the outset of this pandemic that financial advice will play an important role in supporting members who are considering whether to access their superannuation early. Read more
Vince Battaglia
HARRY NEW , VINCE BATTAGLIA  |  FRIDAY, 6 MAR 2020
This paper outlines changes to fees and costs disclosure requirements for superannuation products and collective investment products implemented by ASIC Corporations (Disclosure of Fees and Costs) Instrument 2019/1070 (Instrument 2019/1070) and as explained ... Read more
Phoebe Wynn-Pope
PHOEBE WYNN-POPE , ANDREW LUMSDEN  |  FRIDAY, 28 FEB 2020
In February 2019, the Final Report of the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry, (Final Report), led by the Hon Kenneth Hayne AC QC, was published, Shortly thereafter, the government published ... Read more
Samantha Carroll
SAMANTHA CARROLL  |  FRIDAY, 17 JAN 2020
The design and distribution obligations (DADO) have commenced and must be implemented by April 2021. So what exactly do financial product developers and distributors need to be aware of? What metrics and other indicators need to be developed to monitor ... Read more
Michael Vrisakis
MICHAEL VRISAKIS  |  THURSDAY, 9 JAN 2020
The implications of the recent Full Federal Court decision in ASIC v Westpac Securities Administration Limited [2019] FCAFC 187 (ASIC v Westpac) are far-reaching for the financial services industry. Read more
Nicholas Allingham
GEOFF SANDERS , NICHOLAS ALLINGHAM  |  THURSDAY, 19 SEP 2019
After many years of deferrals, the first reporting date for superannuation funds to disclose their portfolio holdings is fast approaching, with trustees being required to disclose item-by-item investment holdings (as at 31 December 2019) by late March ... Read more
Michael Chaaya
MICHAEL CHAAYA  |  FRIDAY, 6 SEP 2019
On 16 July 2019, an expert panel chaired by Graeme Samuel published their Capability Review of the Australian Prudential Regulation Authority (APRA).1 Read more
Naomi Fink
NAOMI FINK  |  THURSDAY, 1 AUG 2019
As of 1 July 2019, potential whistleblowers across Australia enjoyed an added layer of statutory protections. Read more
Michelle Levy
MICHELLE LEVY  |  THURSDAY, 18 JUL 2019
APRA and ASIC issued a joint letter to all RSE licensees entitled Oversight of fees charged to members' superannuation accounts in early April 2019. The letter is in response to the so-called 'fee for no advice' issue that attracted so much ... Read more
Vince Battaglia
HARRY NEW , VINCE BATTAGLIA  |  FRIDAY, 21 JUN 2019
In this article, we briefly outline the design and distribution obligations and ASIC's product intervention powers set out in recent amendments to the corporations legislation, and offer some reflections on the issues arising particularly for product ... Read more