511-520 of 590 results
Corporate culture and conduct risk
Regulators particularly in the UK and Australia are increasingly interested in corporate culture in the financial services industry its impact on the integrity of the system and what the regulators are doing to try to entrench a corporate culture that works for the benefit of consumers and investors ...
Anti-money laundering and counter-terrorism financing: Key questions for boards and executives in 2017
Australian boards and senior executives are expected to maintain oversight of risk and compliance issues including bribery, sanctions, human rights and anti-money laundering. ...
ASIC announces fintech licensing exemptions
As part of its implementation of the regulatory sandbox for fintech companies ASIC is providing relief for certain fintech businesses from the obligation to hold an Australian financial services or Australian credit licence Relief may be available for up to 12 months and may be useful to businesses ...
Getting the deal through: Project Finance 2018
Allens Partners Michael Ryan and Ben Farnsworth discuss some of the issues relevant to project finance in an Australian context including security packages navigating the Personal Property Security Register and foreign investment issues in their contribution to this global project finance roundup ...
ASIC's report on member experience of superannuation - ASIC continues to set a high bar
ASIC Report 529 Member experience of superannuation released just a day before the Productivity Commission officially sets its sights on assessing the state of the superannuation system serves as a timely reminder of the ever-increasing expectations of the conduct and disclosure practices of ...
Pseudo-investments and mobile apps - a new frontier for regulators
It is hardly surprising that the Australian Securities and Investments Commission ASIC has taken an interest in the mobile app market given that there has been an aggressive expansion into the mobile space by financial services providers ASIC has recently cracked down on web and mobile based OTC ...
Approved product lists and FoFA adviser duties
The FoFA duties that apply to personal advice given to retail clients have been operating for over four years now. ASIC has enjoyed some recent success in the courts in cases brought on the basis of those duties. ...
Banks set to grin and BEAR new measures to improve individual accountability
As part of its ongoing efforts to improve the domestic banking sectors accountability the Federal Government recently announced a series of measures to join the ongoing global push seeking to improve measures for individual accountability for misconduct The proposed Banking Executives Accountability ...
2018-19 Federal Budget - superannuation
The 2018-19 Federal Budget has introduced a number of proposed superannuation-related changes, with a focus on protecting small balances, young members and existing retirees. ...
The beginning of the end of the unit trust's monopoly? CCIV legislation and ASIC guidance
Avid readers of Unravelled over the past few years cannot have failed to notice that there are moves afoot to introduce two new forms of collective investment vehicle each promising a shiny tax-neutral alternative to the unit trust and hopefully saving Australian lawyers a lot of sleepless nights ...