About Cinnamon Pow

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So far Cinnamon Pow has created 6 blog entries.

Need help with policy management? Start here

2023-10-03T14:57:20+11:00

What makes for good policy management? It’s not just about publishing and distributing written policies to all employees. In fact, as the Australian Securities and Investments Commission (ASIC) recently highlighted, good policy management is about the implementation and supervisory controls ensuring adherence to those policies.  […]

Need help with policy management? Start here2023-10-03T14:57:20+11:00

Dirty money: Your anti-money laundering and counter-terrorism financing obligations

2023-09-14T12:47:50+10:00

As an Australian Financial Services License (AFSL) holder, you have certain obligations to help prevent financial crime — particularly when it comes to anti-money laundering (AML) and counter-terrorism financing (CTF). From cryptocurrency and social media scams to huge penalties and liabilities, this is one issue you can’t afford to overlook. […]

Dirty money: Your anti-money laundering and counter-terrorism financing obligations2023-09-14T12:47:50+10:00

A deep dive into the Market Disciplinary Panel outcome related to buy-backs

2023-09-14T12:31:02+10:00

On 31 March 2023, the Markets Disciplinary Panel (MDP), a peer review and enforcement body set up by the Australian Securities and Investments Commission (ASIC), issued an infringement notice to a Market Participant (the Participant) for alleged contraventions of the ASIC Market Integrity Rules (Securities Markets) 2017 (MIRs). The conduct occurred in September 2021, when [...]

A deep dive into the Market Disciplinary Panel outcome related to buy-backs2023-09-14T12:31:02+10:00

ASIC’s 2023 Enforcement Priorities: Misconduct in crypto assets

2023-07-31T14:48:02+10:00

Every year, the Australian Securities and Investments Commission (ASIC) announces its Enforcement Priorities — areas of focus that will guide its efforts and help financial firms know where to make improvements. For 2023, ASIC’s Enforcement Priorities include something that may feel novel: “Misconduct involving high-risk products including crypto assets.” […]

ASIC’s 2023 Enforcement Priorities: Misconduct in crypto assets2023-07-31T14:48:02+10:00

SIAA accredited CPD webinars – Market Integrity Rules

2023-07-06T11:17:26+10:00

Market Integrity Rules Thursday 10 August from 1.00pm to 2.00pm AET Hefty penalties issued to market participants seem to be on the increase and it is incumbent upon participants to ensure they comply with the rules. Supported with examples, Amanda Mark and Andrew Tait from MIntegrity will discuss pre and post trade transparency; dealing in [...]

SIAA accredited CPD webinars – Market Integrity Rules2023-07-06T11:17:26+10:00
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