AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION

AML / KYC

Continuous Disclosure Tops ASIC’s Enforcement List

By Editors | 10/08/2016

33 percent of ASIC market integrity enforcements addressed listed firms’ disclosure burden.

ASIC Appoints New Markets Disciplinary Chairman

By Editors | 02/08/2016

The MDP reviews disciplinary action of market participants for alleged breaching regulator’s integrity rules.

Capital / Liquidity

ASIC Proposes New Fund Risk Regulation

By Samuel Riding | 22/07/2016

Proposals aim to ensure risk management systems are adaptable, effective.

ASIC to Step up Monitoring of Bank Culture

By Samuel Riding | 21/07/2016

Australian public regards financial sector as having weakest ethics, Governance Institute survey finds.

ASIC Issues IPO Due Diligence Report

By Samuel Riding | 15/07/2016

Poor due diligence correlates with defective prospectus disclosures, study finds.

Securities / Derivatives

ASIC Consults on Market, Securities Class Orders

By Samuel Riding | 14/07/2016

Regulator proposes to remake nine instruments, vary or repeal three.

ASIC Details Alleged NAB Rate-rigging

By Samuel Riding | 11/07/2016

Australian banks should improve compliance as series of scandals emerges, regulator says.

ASIC Warns on Unlicensed OTC

By Samuel Riding | 07/07/2016

Securities regulator has contacted 40 unlicensed operators, 21 have taken remedial measures.

AML / KYC

ASIC Flags OTC Derivatives Compliance Failures

By Samuel Riding | 21/06/2016

More than 70% of firms authorised to sell retail OTC derivatives said failing to meet requirements.