About Amanda Mark

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So far Amanda Mark has created 12 blog entries.

Wholesale investor reforms: Raising the bar

2024-05-07T14:58:26+10:00

Amanda Mark features in this recent article published in the Financial Standard on Australia's Treasury is review of the regulations for managed investment schemes (MIS), potentially raising the financial threshold for "sophisticated investors". Financial Standards Feature Wholesale investor reforms Vol22No6 April 8, 2024

Wholesale investor reforms: Raising the bar2024-05-07T14:58:26+10:00

Are brokers, advisers and investors ready for new T+1 settlement rules in the USA?

2024-04-16T09:13:52+10:00

In a recent article in Advisor Voice, Amanda Mark examines the impact of the shortened settlement cycle for most securities transactions in the United States. […]

Are brokers, advisers and investors ready for new T+1 settlement rules in the USA?2024-04-16T09:13:52+10:00

Compliance made simple: Cutting red tape, not corners

2024-03-12T09:42:21+11:00

Compliance might sound complicated, but it doesn’t have to be. For many small licensees in the financial services sector, meeting regulatory requirements is a big concern. Often, these businesses see compliance as an expensive overhead and think they need to have long and detailed compliance policies like larger companies do. However, these fancy frameworks can [...]

Compliance made simple: Cutting red tape, not corners2024-03-12T09:42:21+11:00

Preparing for the unknown: Navigating potential changes to Retail/Wholesale client classification

2024-03-12T09:26:41+11:00

The world of financial services is rarely static. Changes may be thrust upon us whether we want them or not — and that can be both exciting and daunting. The challenge is to be prepared without wasting time, particularly on shifts that may never come to fruition, and to avoid spending too much money upfront. [...]

Preparing for the unknown: Navigating potential changes to Retail/Wholesale client classification2024-03-12T09:26:41+11:00

Infringement Notice MDP06/23: Key compliance takeaways from the Markets Disciplinary Panel and ASIC

2024-02-20T11:16:53+11:00

On 23 October 2023, the Markets Disciplinary Panel (MDP) and the Australian Securities and Investments Commission (ASIC) published an important update. Infringement Notice MDP06/23 addresses alleged contraventions of the ASIC Market Integrity Rules (Securities Markets) 2017 (MIRs or Rules) by a particular market participant that operated a non-public crossing system (dark pool) from 1 April [...]

Infringement Notice MDP06/23: Key compliance takeaways from the Markets Disciplinary Panel and ASIC2024-02-20T11:16:53+11:00

Keep the regulatory change transition simple to avoid adviser fatigue

2024-03-12T09:22:58+11:00

Regulatory change for advisers has, regrettably, become more of a constant than the exception. But with the minister’s QAR reforms laid before us, a concentrated period of change looms. […]

Keep the regulatory change transition simple to avoid adviser fatigue2024-03-12T09:22:58+11:00
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