Australia: Financial Services

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Finance law and banking law thought leadership, articles, podcasts, videos and webinars from expert sources across the legal world. Explore insights covering topics such as capital adequacy, BASEL, acquisition finance, debt capital markets, fund finance, islamic finance, securitization and structured finance.

The Roses Have Wilted And Only A Few Less Thorns—Australia's Finalised Third Party Debt Test Guidance

On 1 October 2025, the Commissioner of Taxation (Commissioner) updated his draft guidance (Draft Guidance) on the third party debt test (TDPT) by publishing...

AM

Alvarez & Marsal

No Conflict Rule: A Reminder For AFSL Holders

AFSL holders owe fiduciary duty to avoid conflicts may operate in addition to the statutory obligation.

Australia Finance

K

Kennedys

Funds Update - 24 October 2025

Earlier this week, ASIC announced that it had issued PDS stop orders in relation to the PDSs for two classes of units of a registered...

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

Professions And Financial Lines Brief - Latest Decisions October 2025

A roundup of the latest court decisions touching on breach of warranty, the interpretation of "any one loss" and how conditional arbitration clauses interact with ongoing BI claims.

Australia Finance

K

Kennedys

Blackbird Swoops In Effort To Extinguish Secured Creditor's Rights Under DOCA

Australia Finance

CC

Corrs Chambers Westgarth

A guide to lender securities in Australia - What borrowers & lenders need to know

Australia Finance

BP

Bartier Perry

APAC Monthly Private Wealth Legal Developments – September 2025

Worldwide Finance

KL

Herbert Smith Freehills Kramer LLP

Report On Private Credit In Australia – ASIC Insights

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

Funds Update - 10 October 2025

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

Backloading Collateral & Valuation Information under EMIR Rules

Australia Finance

TRAction

Private Credit – Public Interest?

Australia Finance

KG

K&L Gates LLP

Actionable Ideas For Re-enlivening Australia's Public Markets And Helping Public Company Directors Get Better Sleep

Australia Commercial

KW

King & Wood Mallesons

EMIR refit: One year on

Australia Finance

TRAction

EMIR – Unique Client IDs / Duplicate Counterparty 2 Identifiers

Australia Finance

TRAction

August 2025 ESG Policy Update—Australia

Worldwide Environment

KG

K&L Gates LLP

ESSENTIAL ESG SPECIAL EDITION - Responsible AI Governance: Emerging Legal Risks And Regulatory Trends

Australia Technology

CC

Corrs Chambers Westgarth

Insights Into Property And Debt Market

Australia Real Estate

CP

Cathro & Partners

Inside Safety Podcast Series - Episode 2 Spotlight On Silica – Recent Developments And Trends

Australia Employment

KL

Herbert Smith Freehills Kramer LLP

Fair Work Commission Backs Employee in Remote Work Dispute with Westpac

Australia Employment

M

McCabes

Funds Update - 26 September 2025

On 18 September 2025 ASIC issued interim stop orders in relation to three credit fund products and on 19 September 2025...

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

The issues with CFD reporting: Unique client IDs / Duplicate Counterparty 2 Identifiers

There still appears to be some confusion in the CFD market around its root cause and resolution.

Australia Finance

TRAction

ASIC Enforcement Action Relating To Business Loans (Green County Case)

The court ruled that Green County and Max Funding could not merely rely on a signed business purpose declaration to avoid the application of the NCC and the licensing requirement.

Australia Finance

SG

Sophie Grace Pty Ltd

Buy Or Rent? Why The Australian Dream Might Be Due For A Makeover

The belief that "rent is dead money and buying is the pathway to prosperity" is widely held in the Australian housing market.

Australia Real Estate

FC

FTI Consulting

For Most Organisations, It Would Take A Cyber-attack To Meaningfully Improve Focus On Data Risk: HSF Kramer Cyber Risk Survey 2025

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

AML/CTF FAQs for current Reporting Entities

Australia Finance

HN

Holley Nethercote

Regulation Driving Uplift

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

Preparing for your AFSL audit: 2025

Australia Finance

SG

Sophie Grace Pty Ltd

Responsible Lending In The Spotlight – Lessons From ASIC v Money3 Loans Pty Ltd (No 3)

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

Funds Update - 12 September 2025

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

Australian Equity Derivative Disclosure Reforms: One Step Closer

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

Private Equity Value Creation Report: Australia 2025

Australia Commercial

AM

Alvarez & Marsal

Wholesale Client Eligibility – Sophisticated Investor and Individual Wealth Tests

Australia Finance

HN

Holley Nethercote

TerraCom's Whistleblower Woes - Australian Federal Court Approves First Whistleblower Retaliation Penalty

Australia Criminal

AO

A&O Shearman

Australian Equity Derivative Disclosure Reforms: One Step Closer

The Government has introduced a Bill containing reforms that would require mandatory public disclosure of all forms of derivative interests once the 5% threshold is reached.

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

Private Equity Value Creation Report: Australia 2025

The PE industry in Australia began 2025 with a cautious yet hopeful outlook. After 13 consecutive interest rate hikes, recent rate cuts have breathed new life into market sentiment.

Australia Commercial

AM

Alvarez & Marsal

Wholesale Client Eligibility – Sophisticated Investor and Individual Wealth Tests

Sophisticated investors are persons that an AFS licensee has determined to be experienced in using financial services.

Australia Finance

HN

Holley Nethercote

TerraCom's Whistleblower Woes - Australian Federal Court Approves First Whistleblower Retaliation Penalty

TerraCom has been ordered by the Federal Court of Australia to pay an AUD7.5 million civil penalty for retaliating against a whistleblower in proceedings commenced by the Australian Securities & Investments Commission (ASIC).

Australia Criminal

AO

A&O Shearman

Inaccuracies In Customer Reporting – Pinning The Tail On The Misleading Or Deceptive Donkey

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

Funds Update - 29 August 2025

On 26 August 2025, ASIC released its Corporate Plan for 2025-26 (the Plan) setting out its strategic direction through to 2029. The Plan sets out the following five strategic priorities...

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

Australia Financial Lines Insurance Symposium Report 2025

A summary report from our 2025 Australia financial lines symposiums outlining some of the key issues and opportunities impacting financial lines claims and litigation in Australia.

Australia Finance

K

Kennedys

Six months of inactivity in your AFSL or ACL? ASIC has the Power to Immediately Cancel it

ASIC has been regularly enforcing its powers to cancel both Australian Financial Services Licences and Australian Credit Licences where the licensee fails to commence its business within six months.

Australia Finance

SG

Sophie Grace Pty Ltd

FCA Makes the ‘Execution Agent' Field Conditional under EMIR

These new validation rules will take effect from 26 January 2026 (Implementation Date).

Australia Finance

TRAction

The Paradox Of Progress: How A Decade Of Financial Reform Created Both Clarity And Complexity

Australia Finance

FC

FTI Consulting

Avoiding Trade Reporting Penalties

Australia Finance

TRAction

Retail vs Wholesale Clients – Regulatory Concerns and Responses

Australia Finance

HN

Holley Nethercote

APAC Monthly Private Wealth Legal Developments – July 2025

Worldwide Finance

KL

Herbert Smith Freehills Kramer LLP

Beneath The Surface: Making Up The Deficit - The Critical Minerals Strategic Reserve And Australia's Unrealised Critical Minerals Production Potential

Australia Government

KL

Herbert Smith Freehills Kramer LLP

Funds Update - 15 August 2025

Australia Finance

KL

Herbert Smith Freehills Kramer LLP

Reporting Transactions under EMIR, MiFIR and SFTR Seamlessly

Australia Finance

TRAction

Are you Providing Sufficient Notice to Clients Regarding Authorised Representatives or Credit Representatives Leaving?

Australia Finance

SG

Sophie Grace Pty Ltd

Financial Advisers – Check FAR Details

Australia Finance

SG

Sophie Grace Pty Ltd

Changes Ahead For Australia's Payments Sector: The RBA Proposes To Ban Card Surcharging

Australia Technology

KG

K&L Gates LLP

MiFID reporting remediation tips and traps – FCA's Market Watch 82

Australia Finance

TRAction

Mission impossible? Cybersecurity and privacy for AFS licensees

Australia Finance

HN

Holley Nethercote

ASIC set to review debt management and credit repair services

Australia Finance

SG

Sophie Grace Pty Ltd

What You Need To Know About Buying And Selling A Financial Or Credit Services Business

Australia Finance

SG

Sophie Grace Pty Ltd

Lessons From Lifeplan: How Forensic Experts Bolster Legal Strategy

Australia Litigation

FC

FTI Consulting

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Latest Videos

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Insights into the Australian Economic Environment in 2023

CP

Cathro & Partners

Monitoring your Licence Number through Google Alerts

SG

Sophie Grace Pty Ltd

It Depends – So my SMSF has paid out my borrowings under an LRBA (Limited Recourse Borrowing Arrangement) - What do I have to do?

CG

Cooper Grace Ward

Breaking Down Barriers – Digital End-To-End Solutions

D

Dentons

CU LAB: Will responsible lending obligations soon apply to retail investors?

CU

Clayton Utz

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