Unpacking APRA and ASIC’s Observations of FAR Implementations The Australian Prudential Regulation Authority (APRA) and the Australian Securities and Investments... READ MORE
Staying Ahead of Regulatory Change in eComms Surveillance Regulators around the globe are taking a firm stance against off-channel communications. In the US,... READ MORE
Addressing Compliance Within Financial Firms’ CPD Requirements The financial services industry brings substantial responsibilities for those working within it,... READ MORE
SFC Issues 6-Month Ban for Fit and Proper Requirements Failure The Securities & Futures Commission of Hong Kong (SFC) issues a 6-month ban on a trader for... READ MORE
Hong Kong’s SFC Imposes Life Ban on Former Associate Director Hong Kong’s Securities and Futures Commission (SFC) has imposed a lifetime ban on a former... READ MORE
APRA and ASIC Superannuation Roundtable Insights & Outcomes APRA and ASIC hosted Superannuation CEO Roundtables in June and July 2024, focusing on a central... READ MORE
Brisbane Financial Adviser Sentenced to 12 Years Imprisonment A former financial adviser and director of a financial institution (FI) in Brisbane, Australia, has... READ MORE
Bill Passed to Boost Singapore's Fight Against Money Laundering Singapore’s Parliament has passed the Anti-Money Laundering (AML) and Other Matters Bill, a crucial... READ MORE
ASIC Calls for Stronger Supervision of Business Communications The Australian Securities and Investments Commission (ASIC) has called on market intermediaries to... READ MORE
