Australia

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.

Securities / Derivatives

Information Leaks, Insider Info Declining – ASIC

By Samuel Riding | 07/11/2016

Report reminds firms to review sell-side, corporate advisory regulatory requirements.

AML / KYC

AUSTRAC to Assist Fintech Firms on AML, CTF

By Samuel Riding | 07/11/2016

New site will inform firms on AML, CTF issues; enable direct contact with regulator.

ASIC Steps Up Surveillance

By Samuel Riding | 02/11/2016

Regulator collected $161mn in compensation and remediation for investors and clients.

APRA Seeks Stronger Powers over Superannuation

By Samuel Riding | 01/11/2016

Additional powers said to address lapses in governance, risk management, and conflict management.

Australian Banks Asked to Pay Back $135mn in Fees

By Samuel Riding | 28/10/2016

Institutions were collecting fees for advice without giving any advice.