Our financial services forums are conducted monthly and are very popular.  The forums are only available for our program clients, (and current Halsey Legal Service clients).  We also provide as needs forums for our program clients when there are any urgent developments.

Examples of the topics covered in our forums are:

Topic

1. ► ASIC’s focus from now until 2024 – the Corporate Plan
2. ► Fraud and identity theft
3. ► Technological Resources and Cyber Security
4. ► Client file reviews
5. ► Salary survey
6. ► HAP2 Pty Ltd v Bankier [2020] Queensland Court of Appeal
7. ► ASIC Update – Revised Reform Timetable
8. ► Courts provide Westpac a “win” in relation to ACL fact finders
9. ► ASIC – “Sunset” for COVID Relief relating to SOAs
10. ► Continuing Consolidation of the Advice Industry as institutions depart the “holistic personal advice space”
11. ► Penalising the “approach” even where conduct is within the limits of relevant legal provisions
12. ► Certain changes proposed by the FPA to change the advice industry
13. ► FASEA News
14. ► Giving advice – who is in the frame, Part 1
15. ► June regulatory update
16. ► Financial advice – revisiting COVID related relief
17. ► FASEA related legislation updates
18. ► ASIC defers the commencement of the mortgage brokers “best interest duty” obligations
19. ► New means of signing Company documents
20. ► Directors duties regarding AFSLs compliance
21. ► Court challenges to AFCA
22. ► Enhanced powers to ASIC to make “banning orders” and cancel or suspend licenses
23. ► Lack of independence disclosures
24. ► Reference checking and information sharing upon recruitment
25. ► “Reportable Situations” resume to replace current breach notification regime
26. ► Handling insurance claims to become a regulated “financial service”
27. ► Rebating previous Grandfathered Conflicted Remuneration
28. ► Changes to Ongoing Fee Arrangements
29. ► Charging of advice fees from superannuation accounts
30. ► Enforcement of industry association codes
31. ► AFCA’s adoption of the FASEA Code principles
32. ► Implementing the “Informed Consent” FASEA Standards
33. ► Implementing the ASIC “Reasonable Steps” Standards
34. ► Coronavirus – Have you updated your AFSL risk management plan/matrix?