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New ASIC Funding Proposal May Hurt Stockbrokers
By Editors | 26/09/2015
The Stockbrokers Association of Australia has warned that proposals to increase industry funding of the corporate regulator may impose greater costs on brokerage firms, prompting more industry rationalisation and stifling innovation.
Bank of Queensland Investigated by ASIC over Compliance Failures
By Editors | 23/09/2015
The Australian Securities and Investment Commission has concerns over its risk management and compliance systems.
ASIC Sees Opportunities with Blockchain Technology
By Editors | 21/09/2015
Australian Securities and Investment Commission chairman Greg Medcraft says the emergence of blockchain technology has the potential to change the existing financial system.
Australia Bank Funding Costs Set to Increase
By Editors | 19/09/2015
The Australian Prudential Regulatory Authority has said banks will need to fund themselves with more expensive long-term debt over time to reduce risk to the financial system.
ASIC Urges Licensed Entities to Resolve Compliance Issues
By Editors | 16/09/2015
The Australian Securities and Investment Commission has identified compliance failures by responsible entities and superannuation trustees.
Australia Commissions Capabilities Review of ASIC
By Editors | 11/09/2015
Australia’s government has commissioned a capabilities review to to examine, and make recommendations on how efficiently and effectively ASIC operates.
ASIC’s Biggest Concern – Culture and Conduct
By Editors | 02/09/2015
The Australian Securities and Investment Commission has published its latest three-year corporate plan, highlighting gatekeeper conduct and poor financial advice as some of its biggest concerns.
Industry Funding Model Proposed for Australian Regulator
By Editors | 28/08/2015
ASIC releases consultation paper proposing an industry funding model where regulatory costs will be recovered directly from banks, listed companies and the financial services sector.
ASIC Issues Third Report on Corporate Finance Regulation
By Editors | 24/08/2015
The Australia Securities and Investment Commission has published its third report detailing the approach it takes to the regulation of corporate finance issues.
ASIC Cracks Down on Interest-Only Mortgages
By Editors | 23/08/2015
The Australian Securities and Investment Commission has asked lenders to lift their standards for interest-only mortgages, after a probe found that lending criteria do not meet their responsible lending obligations.
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