AUSTRALIA

    AML / KYC

    ASIC Prompts Banks on Handling of Sensitive Information

    By Editors | 10/08/2016

    While most firms have adequate policies, implementation is inconsistent.

    AML / KYC

    Continuous Disclosure Tops ASIC’s Enforcement List

    By Editors | 10/08/2016

    33 percent of ASIC market integrity enforcements addressed listed firms’ disclosure burden.

    Capital / Liquidity

    APRA Finalises Conglomerate Groups Supervision Framework

    By Editors | 10/08/2016

    The eight conglomerate groups control approximately 80 percent of APRA-regulated institutions’ assets.

    Capital / Liquidity

    APRA Drafts Banks’ Reporting Requirements

    By Editors | 02/08/2016

    Regulator proposes changes to reporting of banks’ international exposures.

    ASIC Appoints New Markets Disciplinary Chairman

    By Editors | 02/08/2016

    The MDP reviews disciplinary action of market participants for alleged breaching regulator’s integrity rules.

    Capital / Liquidity

    ASIC Proposes New Fund Risk Regulation

    By Samuel Riding | 22/07/2016

    Proposals aim to ensure risk management systems are adaptable, effective.

    ASIC to Step up Monitoring of Bank Culture

    By Samuel Riding | 21/07/2016

    Australian public regards financial sector as having weakest ethics, Governance Institute survey finds.

    ASIC Issues IPO Due Diligence Report

    By Samuel Riding | 15/07/2016

    Poor due diligence correlates with defective prospectus disclosures, study finds.

    Securities / Derivatives

    ASIC Consults on Market, Securities Class Orders

    By Samuel Riding | 14/07/2016

    Regulator proposes to remake nine instruments, vary or repeal three.

    Market Infrastructure

    APRA Defines HQLA for Coverage Ratio

    By Samuel Riding | 14/07/2016

    Regulator says it will continue to develop and vary its definition if warranted.

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