by Victoria Smith | 2023-02-27 | Our Thinking
The Australian Prudential Regulation Authority (“APRA”) has recently announced its key focus supervision and policy areas for 2023. APRA’s prudential policies and supervision activities support its purpose to ensure the financial interests of Australians are protected...
by Victoria Smith | 2023-02-23 | Our Thinking
In our latest short webinar series, we’re looking at earnout provisions used in Merger and Acquisition agreements. We’ll cover… earnout provisions as contractual mechanisms in M&A agreements; the circumstances under which these provisions are...
by Victoria Smith | 2023-02-20 | Our Thinking
Are you an investment advisor affected by the new Securities and Exchange Commission marketing rules? Firms will need to ensure they are compliant with the new Marketing Rule by making updates to their marketing materials, contracts and policies and procedures. At...
by Victoria Smith | 2023-02-19 | Our Thinking
summary The Australian Securities and Investments Commission (“ASIC”) outlined its enforcement priorities on 3 November 2021 and has increased its surveillance and enforcement focus on fund managers, superannuation trustees and responsible entities more recently,...
by Victoria Smith | 2023-02-16 | Our Thinking
summary On 12 January 2023, the U.S. Securities and Exchange Commission (“SEC”) announced that it has charged Genesis Global Capital, LLC (“Genesis”) and Gemini Trust Company, LLC (“Gemini”) over unregistered offer and sale of securities to retail investors through...
by Victoria Smith | 2023-02-15 | Our Thinking
background On 30 November 2022, the Financial Conduct Authority (“FCA”) published a Consultation Paper (the “Consultation Paper”) CP22/24 on proposals to broaden access to financial advice for mainstream products. These proposals are part of the FCA’s wider...
