AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION

    Securities / Derivatives

    Regulatory Pressures Drive Demand for Client Management Solutions in Asia Pacific

    By Editors | 08/09/2014

    In a sign of an increasing regulatory pressure for financial institutions in Asia Pacific, regulatory onboarding, entity data and client lifecycle management solutions provider Fenergo is expanding in the region.

    Australian Regulator Seeks More Power In Financial System

    By Editors | 30/08/2014

    The Australian Securities and Investment Commission is asking for the power to ban investment products and intervene more heavily in the market.

    Macquarie to Contact Thousands of Clients Over Poor Advice

    By Editors | 15/08/2014

    The Australian Securities and Investments Commission has ordered Macquarie Group to contact 160,000 clients who may have lost money due to flawed financial advice.

    ASIC Imposes New Conditions for CBA Licensees

    By Editors | 10/08/2014

    The financial planning arms of the Commonwealth Bank of Australia will be subject to new financial services license conditions, the Australian Securities and Investments Commission said.

    Australian Regulator to Review Broker Dark Pools

    By Editors | 30/07/2014

    The Australian Securities and Investments Commission will conduct reviews of broker dark pools over the next 12 months, as regulators globally investigate alleged abuses in the operation of alternative trading venues.

    ASX Seeks Improvements in Operation, Says ASIC

    By Editors | 30/07/2014

    The Australian Securities Exchange Ltd will explore enhanced procedures around the operation of its futures market and consider listing applications from emerging market issuers as part of improvements the bourse intends to work on together with the country’s securities regulator.

    Australian Regulator Censures RBS over Interest Rate Manipulation

    By Editors | 22/07/2014

    Australia’s securities regulator has censured the Royal Bank of Scotland for its role in manipulating Australia’s bank bill swap rate.

    Securities / Derivatives

    Australian Government Plans Mandatory Central Clearing of AUD Interest Rate Derivatives

    By Editors | 10/07/2014

    The Australian government is proposing mandatory central clearing of Australian-denominated interest rate derivatives (IRD).

    Securities / Derivatives

    Australian Regulator Reports on Fee Disclosure Norms for Super and Managed Investments

    By Editors | 08/07/2014

    Australian Securities and Investments Commission has released a report on its review of the fee and cost disclosure practices in the superannuation and managed investment industry.

    MGSM Undertake Comprehensive HFT Study

    By Editors | 03/07/2014

    A team of financial researchers from the Macquarie Graduate School of Management (MGSM) will undertake Australia’s first comprehensive study into the impact of High Frequency Trading (HFT) on the quality of Australia’s financial market.

    JOIN OUR NEWSLETTER

    A daily selection of top stories from the Regulation Asia editorial team