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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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