AUSTRALIA

    AML / KYC

    ASIC Consults on Fintech Sandbox

    By Samuel Riding | 08/06/2016

    Regulator proposes six-month licensing exemption, modified organisational competence requirements.

    Market Infrastructure

    ASIC Launches 3rd BBSW-rigging Case

    By Samuel Riding | 08/06/2016

    Securities regulator accuses NAB of ‘unconscionable conduct and market manipulation’.

    ASIC Eases Path to New Tax Systems for Investment Trusts

    By Samuel Riding | 03/06/2016

    Managed trusts can change constitutions without holding members’ meetings.

    Australia to Limit Payment System Surcharges

    By Samuel Riding | 27/05/2016

    Surcharges exceeding merchant costs to be barred on some payment systems.

    Market Infrastructure

    Credit Suisse Fined for Market Integrity Rule Breaches

    By Samuel Riding | 20/05/2016

    Australian unit fined USD50,000 for failure to have automated trading filters in place to prevent interference with market integrity.

    Market Infrastructure

    SSX to Develop Blockchain Settlement, Registration

    By Samuel Riding | 20/05/2016

    Sydney exchange’s system to be initially deployed across private markets platform.

    AML / KYC

    HSBC Accepts ASIC Undertaking on Structured Product Sales

    By Samuel Riding | 18/05/2016

    Bank required to remediate clients who may have received ‘deficient advice’.

    AML / KYC

    Australia Launches Tax Disclosure Consultation

    By Samuel Riding | 04/05/2016

    Government recommends adoption of OECD mandatory disclosure rules on base erosion, profit shifting.

    Australia Proposes Bankruptcy, Insolvency Reforms

    By Samuel Riding | 03/05/2016

    Measures designed to boost innovation could have knock-on impact on capital markets.

    AML / KYC

    ASIC to Use Windfall to Boost Surveillance, Enforcement

    By Samuel Riding | 21/04/2016

    Australian securities regulator also welcomes shift to industry funding model.

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