Australia

Securities / Derivatives

ASIC – No Plans for Research Unbundling

By Editors | 06/07/2017

Regulator issues consultation on conflicts of interest, non-public information in sell-side research.

Fintech / Regtech

Fintech Innovation vs. Regulation

By Peter Guy | 03/07/2017

Hong Kong needs to beware as Australia and Singapore regulators issue game-changing initiatives.

AML / KYC

Australia Eyes Stronger Powers for ASIC

By Editors | 29/06/2017

The Australian Treasury issued a trio of proposals to enhance the enforcement powers of ASIC.

Enforcement

Enforcement – ‘Market Manipulation’ in Australia and China

By Editors | 28/06/2017

ASIC says Macquarie Securities failed to escalate suspicions; China-based HFT to pay $101mn.

Capital / Liquidity

Moody’s Downgrades Australian Banks on Debt Challenges

By Editors | 21/06/2017

Twelve Australian banks have been downgraded by Moody’s Investors Service as they face “elevated risks in the household sector which […]

Capital / Liquidity

Australian Parliament OKs Industry-funding Model for ASIC

By Editors | 16/06/2017

All funding for securities regulator to be collected via levies on regulated entities.

Enforcement

ASIC Flags Fund Manager Compliance Failures

By Editors | 15/06/2017

ASIC (the Australian Securities and Investments Commission) issued recommendations to improve conduct in the funds management sector, citing several failures […]

Capital / Liquidity

Bank Levy Won’t Harm Financial Stability – APRA

By Samuel Riding | 01/06/2017

Government proposed levy will apply to all banks with liabilities of more than $74.36bn.

Capital / Liquidity

ASIC Eyes Regtech Expansion

By Samuel Riding | 29/05/2017

Securities watchdog looks to bring more regulation and compliance technology into innovation hub, sandbox.