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Regulation

Tim Stewart

Treasury’s ASIC Enforcement Review taskforce has asked for public submissions on its proposed changes to the regulators licensing powers.

Aleks Vickovich

The corporate regulator has revealed its position on the definition of independent financial service provision, in a move likely to impact thousands of financial advisers.

Staff Reporter

ASIC has fined Westpac $127,250 for failing to correctly report information about more than 100,000 over-the-counter derivatives transactions.

Staff Reporter

The Australian corporate regulator has entered into a fintech co-operation agreement with its Japanese counterpart, the Japan Financial Services Agency.

Staff Reporter

Macquarie Securities has paid a penalty of $505,000 after ASIC found it “recklessly” took 39 days to suspend the account of a suspected rogue trader.

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Analysis

Anthony Aboud

Rob Lovelace

Rafiq Choudhury

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