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Regulation

regulation

15 June 2017 • By • 1 min read

ASIC secures Hong Kong fintech agreement

The Hong Kong Securities and Futures Commission (SFC) has signed a co-operation agreement with ASIC on financial innovation. The agreement between ...

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ASIC issues compliance warning to REs

ASIC’s recent surveillance of responsible entities has found a number of compliance areas in which they ‘fell short’ of their legal obligations

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Macquarie Equities compensation bill nears $25m

Regulatory action against Macquarie Equities for “compliance deficiencies” commenced in 2014 is now “substantially complete”, with $24

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MDA provider fined by ASIC

ASIC has fined an equities and derivatives managed discretionary account (MDA) provider for making false or misleading statements on its website

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Sydney advice firm has AFSL cancelled

ASIC has cancelled the Australian financial services licence (AFSL) of Sydney-based firm Investment Advisers Alliance. Investment Advisers ...

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Make ASIC a ‘proactive’ watchdog: Kell

ASIC deputy chairman Peter Kell has made the case for stronger banning powers, tougher supervision and higher penalties for wrong-doers

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Macquarie wary about ‘disproportionate’ levy

The government’s major bank levy is likely to have “unintended and disproportionate” consequences on Macquarie's local earnings given the group’s ...

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Bank lobby calls for wider APRA powers

The government’s proposal that APRA be given powers to monitor bank executive conduct should be extended to the superannuation and insurance sectors, ...

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ASIC cancels Gallop International’s licence

ASIC has cancelled the Australian financial services licence of Gallop International Group. According to a statement, ASIC has cancelled the AFSL ...

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ASIC deepens commitment to RegTech

The corporate regulator has proposed a number of new initiatives designed to trial RegTech capabilities and identify possible implementation ...

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