Design and Distribution Obligations: Your Guide to DDO
cinnamon pow2025-05-13T09:53:49+10:00Learn about Design and Distribution Obligations (DDO) in 2025. Understand compliance, obligations for issuers and distributors, and the future of DDO.
ASIC News: A Look at RG 78 (Breach Reporting) and Updates
cinnamon pow2025-02-19T13:00:57+11:00Maintaining compliance is crucial for organisations but it shouldn’t jeopardise the processes that keep them afloat in a competitive ecosystem. ASIC has been updating Regulatory Guide 78 (RG78), for breach reporting. Here’s a look at RG 78.
Wholesale investor reforms: Raising the bar
cinnamon pow2024-05-07T14:58:26+10:00Amanda 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
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. […]
INDepth with Amanda Mark from MIntegrity
cinnamon pow2024-03-12T10:48:10+11:00Amanda Mark from MIntegrity goes in-depth with Laurence Parker-Brown from The Inside Network on helping the advice industry navigate the regulatory risk landscape. https://www.youtube.com/watch?v=7KW-sC2i4Aw
“Savvy market moves pitch Complii as ‘new asset class’ in financial services for 2024” – The Inside Adviser
cinnamon pow2024-03-12T10:00:57+11:00The Inside Adviser comments on the Complii’s strategy and outlook in this article: […]
Compliance made simple: Cutting red tape, not corners
cinnamon pow2024-03-12T09:42:21+11:00Compliance might sound complicated, but it doesn’t have to be. For many small licensees in the financial services sector, meeting regulatory requirements is a big concern. Often, these businesses see compliance as an expensive overhead and think they need to have long and detailed compliance policies like larger companies do. However, these fancy frameworks can [...]
Preparing for the unknown: Navigating potential changes to Retail/Wholesale client classification
cinnamon pow2024-03-12T09:26:41+11:00The world of financial services is rarely static. Changes may be thrust upon us whether we want them or not — and that can be both exciting and daunting. The challenge is to be prepared without wasting time, particularly on shifts that may never come to fruition, and to avoid spending too much money upfront. [...]
Keep the regulatory change transition simple to avoid adviser fatigue
cinnamon pow2024-03-12T09:22:58+11:00Regulatory 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. […]