Jim Bulling

Jim Bulling

K&L Gates LLP

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FATCA is Coming

At the end of May 2014, a bill was introduced to the Australian Federal Parliament to give effect to the United States' Foreign Account Tax Compliance Act (FATCA) and the intergovernmental agreement which was executed by...more

6/24/2014 - Australia FATCA FATCA Timeline FFI Intergovernmental Agreements IRS

The Future of FoFA

In light of today's announcements from Mathias Cormann, Australia's Minister for Finance, the future of FoFA is becoming clearer. The Future of Financial Advice (FoFA) legislation has been surrounded by uncertainty...more

6/23/2014 - ASIC Australia FOFA Reforms

ASX's mFund and the Best Interests Duty

With the Australian Securities Exchange (ASX) set to launch its mFund settlement service in the first half of 2014, investment platform providers and financial advisers need to spend some time coming to grips with the...more

3/7/2014 - ASIC Australia Foreign Investment

Changes to Hedge Fund Disclosure and Reporting Obligations

In October 2013, the Australian Investment and Securities Commission (ASIC) announced new reporting and disclosure obligations for hedge funds and funds of hedge funds registered in Australia. By 1 February 2014, fund...more

1/23/2014 - Australia Disclosure Requirements Hedge Funds Reporting Requirements

Proposed FoFA Reforms to Ease Regulatory Burden

In line with their pre-election commitments, on Friday 20 December, the Australian Government announced plans to reform the Future of Financial Advice (FoFA) legislation. Many of the changes go beyond what had previously been...more

12/24/2013 - Australia Financial Regulatory Reform FOFA Reforms

Australian Financial Services Reforms – New Issues for Superannuation and Hedge Funds

Superannuation fund trustees will be seeking increased input and cooperation from their investment managers in order to comply with new regulatory requirements while hedge funds will need to consider their status under the...more

10/29/2013 - Australia Financial Regulatory Reform Hedge Funds Superannuation

OAIC Releases Guidelines on Cross Border Disclosure and Direct Marketing

The Office of the Australian Information Commissioner (OAIC) has released further draft Australian Privacy Principles (APP) Guidelines (draft Guidelines) for public consultation. The draft Guidelines outline how the OAIC will...more

9/30/2013 - Australia Cross-Border Disclosure Requirements Marketing

Financial Services Under a New Liberal Government

What can the Financial Services Sector Expect from the New Federal Government? "Son of Wallis" Inquiry - The incoming Coalition government has committed to conducting a comprehensive "root and branch" inquiry...more

9/13/2013 - Australia FOFA Reforms Superannuation

Advice in a Post FOFA World – Strategic Ripples

There is no doubt that the Future of Financial Advice reforms (FOFA) will significantly transform the advice landscape, and there is debate around which sectors of the advice industry will be the winners, and how long the...more

8/9/2013 - Australian Securities and Investments Commission Fees Financial Adviser FOFA Reforms Remuneration Subsidies Superannuation

Curating an Investment Menu – Investment Governance Challenges for Super Trustees

Investment governance expectations on superannuation trustees have risen markedly since the introduction of the StongerSuper reforms....more

8/9/2013 - Financial Regulatory Reform Investment Funds Investors Safe Harbors Superannuation Trustees

Banks Winning Battle for SMSF Assets... For Now

The growth in assets in Self Managed Super Funds (SMSFs) continues unabated with the SMSF sector now comprising nearly AUD500 billion in assets from just under 500,000 funds; each fund containing an average of around AUD1...more

8/9/2013 - Australia Banks Fund Managers Self-Regulatory Organizations Superfund Trustees

Mandatory Data Breach Reporting Bill Introduced Into Parliament

The Privacy Amendment (Privacy Alerts) Bill 2013 was introduced into Parliament on 29 May 2013. Having been recommended by the Senate Committee report tabled on 24 June, it appears that Parliament intends to pass the Bill...more

6/27/2013 - Data Breach Data Protection EU Personally Identifiable Information Proposed Legislation Reporting Requirements

Superannuation Funds - Enhanced Investment Management Governance

The Australian Government has been rolling out a series of significant regulatory reforms of the superannuation industry, many of which will commence in 2013. These reforms are fundamentally designed to enhance the prudential...more

4/26/2013 - Disclosure Requirements Fees Financial Management Outsourcing Investment Management Offshore Funds Outsourcing Prudential Standards Reporting Requirements Superannuation Trustees

Australia's "Significant Investor Visa" Creates Opportunities for Fund Managers

The Australian Government is looking to encourage foreign investment into Australia through the introduction of a new visa pathway for individuals who make substantial investments in Australia. The "Significant Investor Visa"...more

3/1/2013 - Fund Managers Significant Investor Visa

Investment Management in Australia

Asset managers are increasingly looking to Australia as a source of growth and as a gateway to the Asia Pacific region. This overview will assist managers navigate the Australian regulatory landscape. Financial Services...more

2/22/2013 - Asset Management Financial Companies Investment Management Licensing Rules

Complex Financial Products – International Support for yet More Investor Protection

The International Organisation of Securities Commissions (IOSCO) has recently released its final report on "Suitability Requirements with respect to the Distribution of Complex Financial Products" (Report), which outlines the...more

2/18/2013 - Australian Securities and Investments Commission Complex Financial Products FOFA Reforms Foreign Investment Investor Protection IOSCO

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