Powered by MOMENTUM MEDIA
lawyers weekly logo
Advertisement

Regulation

regulation

19 July 2016 • By Tim Stewart • 1 min read

Banks must do better on cyber security: KPMG

Changes to the Privacy Act that make it mandatory to report serious data breaches could have grave reputational consequences for financial ...

READ MORE
icon

ASIC uncovers 'misleading and deceptive' IPOs

An ASIC review of due diligence during the IPO process has uncovered prospectuses with "defective" levels of disclosure, 'box-ticking' approaches and ...

READ MORE
icon

Bank remuneration review announced

The Australian Bankers’ Association (ABA) has announced an independent review of remuneration practices, to be led by former Australian Public Service ...

READ MORE
icon

IOOF 'satisfied with result' of ASIC inquiry

Financial services firm IOOF has sought to play down ASIC's 12-month investigation into its compliance practices, pointing out the regulator's inquiry ...

READ MORE
icon

IOOF dodges enforceable undertaking

Financial services firm IOOF has emerged from a 12-month ASIC investigation of allegations of insider trading and front-running without receiving ...

READ MORE
icon

ASIC calls out retail OTC derivatives providers

The corporate regulator has taken action against 40 unlicensed retail over-the-counter (OTC) derivative providers, the majority of whom are binary ...

READ MORE
icon

Banks now 'unquestionably strong', says APRA

The prudential regulator is satisfied Australia's major banks are now 'unquestionably strong' compared with their international peers, according to ...

READ MORE
icon

ASIC removes conditions from Macquarie's licence

Macquarie Bank has had additional conditions relating to the handling of client money removed from its licence by ASIC. ASIC has removed additional ...

READ MORE
icon

ASIC fines Macquarie Securities $120,000

Macquarie Securities has paid a penalty of $120,000 after ASIC’s Markets Disciplinary Panel determined the firm had interfered with the efficiency and ...

READ MORE
icon

Insider trader jailed for 12 months

Convicted insider trader Oliver Curtis has been sentenced to two years' imprisonment, dependent on good behaviour and with a minimum prison time of 12 ...

READ MORE