AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION

Fintech / Regtech

Fintech Innovation vs. Regulation

By Peter Guy | 03/07/2017

Hong Kong needs to beware as Australia and Singapore regulators issue game-changing initiatives.

AML / KYC

Australia Eyes Stronger Powers for ASIC

By Editors | 29/06/2017

The Australian Treasury issued a trio of proposals to enhance the enforcement powers of ASIC.

Fintech in APAC – The Virtuous Circle

By Samuel Riding | 28/06/2017

How regulatory and financial institutions are bringing the fintech ecosystem together.

Enforcement

Enforcement – ‘Market Manipulation’ in Australia and China

By Editors | 28/06/2017

ASIC says Macquarie Securities failed to escalate suspicions; China-based HFT to pay $101mn.

Enforcement

ASIC Flags Fund Manager Compliance Failures

By Editors | 15/06/2017

ASIC (the Australian Securities and Investments Commission) issued recommendations to improve conduct in the funds management sector, citing several failures […]

Capital / Liquidity

ASIC Eyes Regtech Expansion

By Samuel Riding | 29/05/2017

Securities watchdog looks to bring more regulation and compliance technology into innovation hub, sandbox.

Market Infrastructure

ASIC FX Probe Nears End with Macquarie Undertaking

By Samuel Riding | 22/05/2017

Macquarie follows Big 4 lenders in promising to fix and monitor conduct by forex traders.

Securities / Derivatives

Australian Parliament Confirms Bank Reform Proposals

By Samuel Riding | 26/04/2017

Stronger breach reporting requirement includes naming responsible senior executives.

Market Infrastructure

ASIC Confirms Further ASX Review

By Samuel Riding | 21/04/2017

Regulator also eyeing conduct and culture; conflicts of interest, tech and market innovation risks.