Australia

New Zealand Finalises Crowdfunding, P2P Reporting Rules

By Samuel Riding | 23/11/2016

‘Regulatory returns’ are designed to help supeversion under Financial Markets Conduct Act.

Securities / Derivatives

ASIC Pursues Civil Claim for Market Integrity Breaches

By Samuel Riding | 23/11/2016

Regulator has issued 51 infringement notices since 2010; case relates to only one not complied with.

ASIC Fines Firm for Trading on Dead Client’s Account

By Samuel Riding | 17/11/2016

Securities firm fined USD150,000 for taking orders from unauthorised family member.

AML / KYC

AUSTRAC to Revise AML/CTF Regulations

By Samuel Riding | 15/11/2016

Draft proposals would allow non-permissioned collection, verification of customer information.

Capital / Liquidity

APRA Chief Vows Not to Relax Capital Rules

By Samuel Riding | 14/11/2016

Chairman says ‘unquestionably strong’ requirement to remain in place despite Dodd Frank uncertainty.

Capital / Liquidity

Australia Finalises Securitisation Standard

By Samuel Riding | 11/11/2016

Standard covers risk framework and regulatory capital requirements.

AML / KYC

ASIC Security Adviser Charged with ML Offences

By Samuel Riding | 11/11/2016

High level employee alleged to have created false documents, illegally altered information.

Market Infrastructure

ASIC Backs Industry-funded Model

By Samuel Riding | 09/11/2016

Proposed model will allocate funding according to each sector supervised by securities regulator.

Market Infrastructure

NZ Proposes Market Infrastructure Stability Framework

By Samuel Riding | 09/11/2016

Regulator says framework will promote financial stability amidst evolving market landscape.