RegsWeb 22 Oct – AFCA, AML/CTF, ASX
cinnamon pow2025-11-05T07:19:54+11:00RegsWeb News: AFCA report on complaint handling, AUSTRAC guidance on AML/CTF reforms, & ASX Trade relocation. Get the latest compliance updates.
RegsWeb 10 Sept – AML, ASX, AUSTRAC
cinnamon pow2025-10-15T11:39:13+11:00RegsWeb News: Updates on AML outsourcing liability, ASX Settlement Rule changes to securities lending reports & AUSTRAC's focus on timely reporting.
RegsWeb 23 July – ASIC, Cyber, AML, ASX
cinnamon pow2025-08-14T14:04:54+10:00ASIC sues for cyber failures, AUSTRAC rolls out major AML reforms, and ASX consults on liquidity. Stay informed on the latest compliance changes.
The Evolution of Trade Surveillance in Financial Markets
cinnamon pow2025-02-13T17:12:08+11:00In 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.
Infringement Notice MDP06/23: Key compliance takeaways from the Markets Disciplinary Panel and ASIC
cinnamon pow2024-02-20T11:16:53+11:00On 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 [...]
Regulatory Changes in the Financial Services Industry: Trends for 2023
cinnamon pow2023-05-10T12:14:47+10:00All 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. […]
Expert insight on regulatory change management
cinnamon pow2023-05-10T12:15:11+10:00Regulatory 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 [...]
What effective policy management really means
cinnamon pow2023-05-10T12:15:37+10:00Policy 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. […]