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

Australian financial sector: Navigating regulatory compliance for cyber resilience

2023-07-04T11:18:31+10:00

Although cybersecurity has long been an integral part of the Australian financial sector, the idea of ‘cyber resilience’ is newer and more complicated. Instead of focusing on the tools or solutions required to protect an organisation, cyber resilience goes a step further to encompass frameworks, philosophies and applicable responsibilities.  […]

Australian financial sector: Navigating regulatory compliance for cyber resilience2023-07-04T11:18:31+10:00

ASIC design and distribution obligations: Ensuring your TMD is compliant

2023-06-08T16:39:18+10:00

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. […]

ASIC design and distribution obligations: Ensuring your TMD is compliant2023-06-08T16:39:18+10:00

How MIntegrity supports regulatory change management

2023-05-10T12:14:23+10:00

Regulatory change management is an ongoing challenge for Australian Financial Service Licence (AFSL) and Australian Credit Licence (ACL) holders. The process is difficult due to numerous financial regulators, strict guidelines and dozens of weekly changes — but there are even more factors to consider. […]

How MIntegrity supports regulatory change management2023-05-10T12:14:23+10:00

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

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

How to manage regulatory risk

2023-05-10T12:16:03+10:00

Although the financial services industry faces many unique challenges, regulatory risk management is among the most important. Compliance protects both the financial services provider and its clients — but keeping track of every regulation and making the correct changes can be highly demanding. […]

How to manage regulatory risk2023-05-10T12:16:03+10:00
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