The guidance follows Australia's first Federal Court judgment ruling that an AFS licensee breached its obligations on managing cyber risk.
May 20, 2022The guidance emphasises the need for firms to maintain records of consumers giving consent to be sold financial products as a way to demonstrate compliance.
September 24, 2021IOSCO members are encouraged to consider six measures carefully in the context of their legal and regulatory frameworks.
September 8, 2021ASIC's key external priorities for the next four years include the economy, innovation, consumer harm, cyber resilience, and industry readiness for regulatory reforms.
August 27, 2021ASIC’s appeal seeks judicial clarification on the operation of key obligations under the National Credit Act and National Credit Code.
July 28, 2021In ASIC's view, only bitcoin and ether are likely to satisfy proposed criteria for determining whether a crypto-asset is appropriate as an ETP's underlying asset.
July 2, 2021A new information sheet provides guidance on ongoing fee arrangements, fee disclosure statements, and ongoing fee consents.
June 17, 2021The HKMA has adjusted the scope of the regime, shortened the record retention requirement, and lengthened the time allowed to respond to an MRC request.
May 5, 2021The policy seeks to improve fairness and transparency, and protect consumers from newly emerging financial crimes.
April 15, 2021ASIC's Karen Chester says insolvencies and macro forces could present greater liquidity challenges to fund managers and affect investors' ability to withdraw from funds.
November 21, 2020