MIntegrity offers a unique blend of senior experience in markets (including regulation, operations, trading and market infrastructure) with the aim of assisting market participants, market operators and regulators with the key aspects of financial markets regulation in Australia and the Asia Pacific region, including:
- Fintech / other Start-ups – AFSL applications; Exchange participant applications (trading, clearing and settlement); compliance and surveillance/monitoring frameworks; compliance operations integration for go-live;
- Independent Compliance Expert services – including conduct risk reviews; Enforceable Undertaking remediation oversight (administered by financial regulators);
- Market Expert services – including ‘dirty expert analysis’ of securities trading data for allegations of insider trading, continuous disclosure or market manipulation;
- ASIC Market Integrity Rules (MIRs), the Corporations Act and Exchange Operating Rules;
- Securities classes – including cash equities, futures/options, OTC products, Bank Bill Swap (BBSW), FX and benchmarks;
- AOP certifications, surveillance technology assessments and ongoing implementation, including alerts and report generation; and
- E-Learning and face-to-face courses relevant to markets regulation and potential Continuing Professional Development (CPD) and Mandatory Continuing Legal Education (MCLE) points.
Why Choose Us
MIntegrity Directors, Andrew Tait and Amanda Mark, both held senior positions at ASIC for over 4 years (2009 – 2013). Amanda in the Market & Participant Supervision team looking at compliance and surveillance. Andrew in the Enforcement – Market Integrity team covering enforcement of the MIRs, including briefs to the Markets Disciplinary Panel.
Both were directly involved in the establishment of the teams to develop, monitor, ensure compliance with and enforce the MIRs for the supervision transfer and also for the launch of competition in exchange markets, Chi-X go live in October 2011.
Surveillance technology & processes
We offer a range of critical services in this increasingly important area of market integrity oversight.Read more
Be ready to deal with an ASIC investigation by engaging our specialist services in this area.Read more
Governance & policy
Do you need an Independent Compliance Expert who can add real value to your conduct review process? Do you have the right governance structures and compliance policies in place? We can help prevent regulatory issues before they escalate.Read more
Explore our targeted mobile eLearning courses and claim CPD/MCLE points.Read more
Recent workEnhancement of equities compliance framework.Key note presenter for the Asia-Pacific Economic Cooperation (APEC) – Shanghai and CambodiaFace-to-face training on the ASX 24 Market Integrity Rules.Calibration of alerts and reports for equities surveillance system.Providing specialist regulatory knowledge as part of a consortium bidding for a government tender.
Some of our happy clients
ABN AMRO CLEARING SYDNEY