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AML / KYC
ABA Sets up Pay and Commissions Review
By Samuel Riding | 13/07/2016
Review will also look at payments to third parties including mortgage brokers.
ASIC Details Alleged NAB Rate-rigging
By Samuel Riding | 11/07/2016
Australian banks should improve compliance as series of scandals emerges, regulator says.
AML / KYC
ABA Launches Code of Practice Review
By Samuel Riding | 08/07/2016
Bankers’ association to revamp guidelines for treatment of individuals and small businesses.
ASIC Warns on Unlicensed OTC
By Samuel Riding | 07/07/2016
Securities regulator has contacted 40 unlicensed operators, 21 have taken remedial measures.
Market Infrastructure
Concentration Risk Could Threaten Banking Collapse – APRA
By Samuel Riding | 27/06/2016
Commonwealth Bank, Westpac, National Australia Bank and ANZ together have 80% market share.
Market Infrastructure
Australia Stress-testing Building Societies, Credit Unions
By Samuel Riding | 24/06/2016
APRA test hypothesises -4% GDP, 13% rise in unemployment, 40% drop in house prices.
Market Infrastructure
Higher Capital Requirements Have Minimal Economic Impact – Report
By Samuel Riding | 23/06/2016
Think tank says Australian GDP would take only 0.01ppt hit from 100bp hike in capital requirement.
AML / KYC
ASIC Flags OTC Derivatives Compliance Failures
By Samuel Riding | 21/06/2016
More than 70% of firms authorised to sell retail OTC derivatives said failing to meet requirements.
Market Infrastructure
ASIC Confirms ASX Meets Regulatory Obligations
By Samuel Riding | 15/06/2016
Conclusion based on surveillance assessments and engagement with HK, Singapore regulators.
AML / KYC
ASIC Starts 1st Civil Action on Best Interests Rule
By Samuel Riding | 10/06/2016
Regulator says financial adviser breached ‘best interests duty’ in selling life risk insurance.
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