RegsWeb 03 Sept – Whistleblowing, MIRs, AML/CTF
cinnamon pow2025-09-24T10:08:35+10:00RegsWeb News: Updates on ASIC whistleblower action, a proposed overhaul of Market Integrity Rules for AI, and new AUSTRAC AML/CTF rules. Stay compliant.
Are brokers, advisers and investors ready for new T+1 settlement rules in the USA?
cinnamon pow2024-04-16T09:13:52+10:00In a recent article in Advisor Voice, Amanda Mark examines the impact of the shortened settlement cycle for most securities transactions in the United States. […]
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 [...]
Infringement Notice MDP05/23: Key compliance takeaways from the Markets Disciplinary Panel and ASIC
cinnamon pow2024-02-20T11:17:54+11:00On 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 [...]
A deep dive into the Market Disciplinary Panel outcome related to buy-backs
cinnamon pow2023-09-14T12:31:02+10:00On 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 [...]
SIAA accredited CPD webinars – Market Integrity Rules
cinnamon pow2023-07-06T11:17:26+10:00Market 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 [...]
ASIC Market Integrity Update: What you need to know
cinnamon pow2023-09-14T16:20:45+10:00In 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. [...]