APRA will seek industry feedback in H1 2023 on five topics related to groups: financial resilience, governance, risk management, resolution, and competition issues.
ASIC is inviting the managed funds industry to provide feedback on the level of industry interest and preparedness to use the ARFP.
ASX will consult on a new automated service that can provide greater certainty about trade and order status, and a new ‘Cancel Only’ session state.
ASIC conducted a thematic review on root cause analysis practices at the six largest audit firms, ahead of ASQM 1 coming into effect on 15 December 2022.
Common areas of non-compliance related to AML/CFT risk assessments, staff training, PEP identification, and compliance monitoring, among other areas.
The published data for the first time includes information on the number and types of products and investment options available in the superannuation industry.
The firms misused the wholesale investor exclusion to extend offers to people with little or no investment experience.
InvestNow had deficiencies in its processes for verifying customer identities and conducting CDD, EDD and SoW/SoF checks.
The review was launched six months early in response to feedback from stakeholders. The findings are due to be reported by 1 March 2023.
By end 2021, 49% of New Zealand assets were managed through responsible investment strategies, an increase from 43% in 2020.
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