SIAA accredited CPD webinars – Market Integrity Rules
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 […]
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ASIC Market Integrity Update: What you need to know
In May 2023, the Australian Securities and Investments Commission (ASIC) released Issue 148 of its Market Integrity Update. The publication includes important information for market participants, including guidance for assessing cyber capabilities, reports on criminal sentences throughout the industry and — perhaps most importantly — a look at the updated market integrity rules penalty regime.
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Australian financial sector: Navigating regulatory compliance for cyber resilience
Although cybersecurity has long been an integral part of the Australian financial sector, the idea of ‘cyber resilience’ is newer and more complicated. Instead of focusing on the tools or solutions required to protect an organisation, cyber resilience goes a step further to encompass frameworks, philosophies and applicable responsibilities.
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ASIC design and distribution obligations: Ensuring your TMD is compliant
In October 2021, the Australian Securities and Investments Commission (ASIC) put new product design and distribution obligations (DDOs) into effect. In May 2023, after 18 months of enforcement, ASIC released a report investigating progress in these areas.
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Financial regulation news: ASIC updates Regulatory Guide 78
As the financial services landscape grows more intricate and new market entrants disrupt long-held conventions, the challenges of compliance become particularly noticeable. Varying interpretations and fast-changing requirements complicate an already-stringent regulatory environment. Australian financial organisations are left scrambling to play by the rules — all without jeopardising the processes that keep them afloat in a […]
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How MIntegrity supports regulatory change management
Regulatory change management is an ongoing challenge for Australian Financial Service Licence (AFSL) and Australian Credit Licence (ACL) holders. The process is difficult due to numerous financial regulators, strict guidelines and dozens of weekly changes — but there are even more factors to consider.
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Regulatory Changes in the Financial Services Industry: Trends for 2023
All financial services providers must keep track of trends such as business and consumer behaviours, new technology solutions and cybersecurity threats. These patterns are key to staying relevant and competitive — but to stay compliant, financial firms need to track trends in another area: regulatory change.
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Expert insight on regulatory change management
Regulatory change management is notoriously difficult for financial service providers — especially in Australia, where regulations are particularly strict and numerous. With at least seven top regulators to watch, including the Australian Securities and Investment Commission (ASIC), AUSTRAC and the Office of the Australian Information Commissioner (OAIC), each releasing dozens of regulatory changes and notices […]
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What effective policy management really means
Policy management processes are part of everyday life for many industries, especially financial services. But that doesn’t mean the work is easy. Fast-changing legal, financial and regulatory environments demand rapid reactions — and even a single incident of non-compliance can have severe consequences.
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