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

Regulatory Changes in the Financial Services Industry: Trends for 2023

2023-05-10T12:14:47+10:00

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. […]

Regulatory Changes in the Financial Services Industry: Trends for 20232023-05-10T12:14:47+10:00

Expert insight on regulatory change management

2023-05-10T12:15:11+10:00

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 [...]

Expert insight on regulatory change management2023-05-10T12:15:11+10:00

What effective policy management really means

2023-05-10T12:15:37+10:00

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. […]

What effective policy management really means2023-05-10T12:15:37+10:00
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