Amanda Marks key points at SIAA
Several regulatory themes were emerging as Amanda Mark, Co-CEO of MIntegrity outlines in this snippet from the Conference.
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Peer reviewing the SOA
Peer reviewing the SOA to ensure the advice is clearly communicated. Amanda Mark provides advice in this recent article.
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The suspenseful truth of the overused Suspense account
Amanda Mark explores the do’s and don’ts of using suspense accounts and how to use them within a robust compliance framework in this recent article published in April’s SIAA Monthly.
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INDepth with Amanda Mark from MIntegrity
Amanda Mark from MIntegrity goes in-depth with Laurence Parker-Brown from The Inside Network on helping the advice industry navigate the regulatory risk landscape.
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Need help with policy management? Start here
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.
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A deep dive into the Market Disciplinary Panel outcome related to buy-backs
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 […]
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Interview: Are you ready for annual compliance reviews?
All Australian Financial Service Licence (AFSL) and Australia Credit Licence (ACL) holders have certain responsibilities. These obligations are listed under section 912A of the Corporations Act, as enforced by the Australian Securities and Investments Commission (ASIC). Generally speaking, you must: Demonstrate compliance with these obligations. Ensure you have adequate financial, technical and human resources to […]
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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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