Licensees

Licensees to ‘run the gauntlet’ on reference checking: Holley Nethercote

New reference checking protocols will add another layer of compliance for licensees, but it's the risks around privacy and disclosure that have got financial services lawyers like Holley Nethercote's Samantha Hills concerned.
Tahn SharpeSeptember 24, 2021
Uncategorized

Stapling rebuttal not enough to stop YFYS passage

Matthew SmithJune 18, 2021
Researcher Forum
2

Sanders: Fake advice models greater sin than fee conflicts

Tahn SharpeDecember 2, 2020
Regulation
2

Outdated sophisticated investor rules increase ASIC’s load

Tahn SharpeNovember 25, 2020
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