Wholesale investor reforms: Raising the bar

2024-05-07T14:58:26+10:00

Amanda Mark features in this recent article published in the Financial Standard on Australia's Treasury is review of the regulations for managed investment schemes (MIS), potentially raising the financial threshold for "sophisticated investors". Financial Standards Feature Wholesale investor reforms Vol22No6 April 8, 2024

Wholesale investor reforms: Raising the bar2024-05-07T14:58:26+10:00

Are brokers, advisers and investors ready for new T+1 settlement rules in the USA?

2024-04-16T09:13:52+10:00

In a recent article in Advisor Voice, Amanda Mark examines the impact of the shortened settlement cycle for most securities transactions in the United States. […]

Are brokers, advisers and investors ready for new T+1 settlement rules in the USA?2024-04-16T09:13:52+10:00

Infringement Notice MDP05/23: Key compliance takeaways from the Markets Disciplinary Panel and ASIC

2024-02-20T11:17:54+11:00

On 20 September 2023, the Australian Securities and Investments Commission (ASIC) issued Infringement Notice MDP05/23 to a particular market participant for alleged contraventions under Part 7.2A.04 of the Corporations Regulations 2001. The notice addressed concerns about a client’s trading behaviour. Activity considered suspicious occurred during the Closing Single Price Auction (CSPA) between March and November [...]

Infringement Notice MDP05/23: Key compliance takeaways from the Markets Disciplinary Panel and ASIC2024-02-20T11:17:54+11:00

Keep the regulatory change transition simple to avoid adviser fatigue

2024-03-12T09:22:58+11:00

Regulatory change for advisers has, regrettably, become more of a constant than the exception. But with the minister’s QAR reforms laid before us, a concentrated period of change looms. […]

Keep the regulatory change transition simple to avoid adviser fatigue2024-03-12T09:22:58+11:00

A deep dive into the Market Disciplinary Panel outcome related to buy-backs

2023-09-14T12:31:02+10:00

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 [...]

A deep dive into the Market Disciplinary Panel outcome related to buy-backs2023-09-14T12:31:02+10:00

Interview: Are you ready for annual compliance reviews?

2023-07-31T14:47:12+10:00

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 [...]

Interview: Are you ready for annual compliance reviews?2023-07-31T14:47:12+10:00

SIAA accredited CPD webinars – Market Integrity Rules

2023-07-06T11:17:26+10:00

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 [...]

SIAA accredited CPD webinars – Market Integrity Rules2023-07-06T11:17:26+10:00

ASIC Market Integrity Update: What you need to know

2023-09-14T16:20:45+10:00

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.  [...]

ASIC Market Integrity Update: What you need to know2023-09-14T16:20:45+10:00
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