All Articles tagged with 'Claire Wivell Plater'

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Electronic disclosure requirements – more is needed

From The Fold Legal

A lack of consistency and tricky restrictions in regulatory requirements for electronic disclosure documents means financial planners, insurance providers, credit providers and Fintech companies should all be doing their homework

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12 Feb 2015

Legal requirements for SoAs only part of the problem

From The Fold Legal

Many of the issues raised recently around producing compliant Statements of Advice (SoA)s can be overcome without changing legislation, according to The Fold Legal (The Fold). Managing Director of The

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30 Jan 2015

Licensee Breaches: When in doubt, report

From The Fold Legal

The Australian Securities and Investments Commission (ASIC) is reminding Australian Financial Services (AFS) licensees that significant or likely breaches of their obligations must be notified within 10 days. Managing Director

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19 Sep 2014

Compliance obligations for bitcoin businesses

From The Fold Legal

Bitcoin businesses should actively seek advice on whether their businesses are compliant, as there may be difficulty in applying existing Australian Financial Services (AFS) licensing laws, according to Claire Wivell

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06 Aug 2014

July 1 is FoFA D-Day for Advisers: are you sorted?

From The Fold Legal

The Future of Financial Advice (FoFA) deadlines are upon us and financial advisers should by now have taken several steps to ensure they meet their new obligations, according to the

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30 Jun 2014

ASIC targets add-on insurance

From The Fold Legal

Ancillary or ‘add-on’ insurance, sold at the point of sale, is a new focus for ASIC in 2014, with all businesses selling general or life insurance, or offering credit as

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09 May 2014

Opportunity for advisers in Limited MDA Platforms

From The Fold Legal

With the Australian Securities and Investments Commission (ASIC)’s 2013 proposal to change requirements around limited managed discretionary account (MDA) platforms appearing to be on hold for some considerable time, the

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02 May 2014

General Advice – Are you tempted?

From The Fold Legal

The removal of the ban on conflicted remuneration for general advice in the proposed changes to the Future of Financial Advice (FoFA) legislation may provide new opportunities for financial advice

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04 Mar 2014

ASIC set to burn the churn

From The Fold Legal

The Australian Securities and Investments Commission (ASIC) will analyse life company records in order to find advisers who churn, according to Claire Wivell Plater, Managing Director of The Fold Legal.

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30 Oct 2013

Do you use a platform? You could be breaching the Best Interests Duty

From The Fold Legal

Recent guidance from the Australian Securities and Investments Commission (ASIC) confirms in no uncertain terms that the Best Interests Duty applies just as much, if not more, to platform recommendations

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06 Sep 2013

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CPD: The Two-Chapter retirement – a framework for understanding retiree psychology
Introduction Why do financially secure retirees still hesitate to spend, or commit to strategies that would clearly improve their outcomes? This article sets out the Two-Chapter Retirement framework, a new [...]
CPD: China’s next phase – what persistent supply-side growth means for global markets
China’s economic trajectory is shifting, but not in the way many had once expected. Consumption-led rebalancing has not materialised. Instead, economic policy continues to emphasise industrial modernisation, aligned with a [...]
CPD: Ethics and client best interests
In financial advice, acting in a client’s best interest isn’t just a regulatory rule, it’s the foundation of a trusting, successful partnership. This article, proudly sponsored by GSFM, examines the [...]
CPD: Capitalising on global growth in the decarbonisation era
Few themes rival the scale, urgency and long-term significance of climate change. Consequently, regions, countries, companies and individuals are taking positive action to decarbonise the planet and work toward net [...]
CPD: Decoding the compliance signals within AFCA’s Lead Decisions
Introduction In February 2026, the Australian Financial Complaints Authority (AFCA), reached a significant milestone when it issued its 1,000th Dixon Advisory determination[1]. Up until that point, this represented the single [...]