RegsWeb Newsletter 12 February 2025
Includes:
AI adoption and your governance
Download our AI Policy Template
RegsWeb Newsletter 5 February 2025
Includes:
Cyber Security Act becomes part of the Cyber Security Legislative Package
AML country assessment rating updated by FATF
Updated reference checking protocols
What To Know About Australian Financial Market Infrastructure and Reforms
FMIs are the main “players” that support trading in the country’s capital markets and have high systemic importance, often influencing everything from individual daily transactions to overall financial stability. Here’s what we know.
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ASIC News: A Look at RG 78 (Breach Reporting) and Updates
Maintaining compliance is crucial for organisations but it shouldn’t jeopardise the processes that keep them afloat in a competitive ecosystem. ASIC has been updating Regulatory Guide 78 (RG78), for breach reporting. Here’s a look at RG 78.
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RegsWeb Newsletter 18 December 2024
Includes:
ASIC Info Sheet 286 – ongoing fee arrangements
What Is an Independent Compliance Expert?
Financial Services independent compliance experts, or ICEs, are third-party entities responsible for helping organisations meet crucial compliance obligations. Here’s a closer look at including how to engage them, what they do and what steps they take to help firms meet compliance requirements.
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The Evolution of Trade Surveillance in Financial Markets
In financial markets, trade surveillance is the process of monitoring trading activity for suspicious activity. It’s a crucial tool. Here’s everything you need to know about navigating trade surveillance.
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RG105 Explained: Organisational Competence Obligations
Regulatory Guide 105, or RG105, is a crucial document for financial services organisations. Here’s everything you need to know about RG105 and what it means for your organisation.
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The Simple Guide To APP11
APP11, is a set of guidelines built around data privacy and document governance. Let’s take a closer look at APP11, from its definitions and key terms to tips for ongoing compliance.
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