AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION

Uncategorised

Regtech in Asia – Regulators Playing Catch-up

By Samuel Riding | 29/11/2016

Regulators appear to be lagging behind market infrastructure and institutions in using technology.

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.

Market Infrastructure

IOSCO Appoints Quintet of APAC Regulators to Top Roles

By Samuel Riding | 23/11/2016

SEBI officials appointed as committee chairs; Australia, HK and Malaysia regulators as vice chairs.

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

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.

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.

ASIC Steps Up Surveillance

By Samuel Riding | 02/11/2016

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

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.