Australia

Market Abuse

Continuous Disclosure Tops ASIC’s Enforcement List

By Editors | 10/08/2016

33 percent of ASIC market integrity enforcements addressed listed firms’ disclosure burden.

Emerging Prudential Risks

APRA Finalises Conglomerate Groups Supervision Framework

By Editors | 10/08/2016

The eight conglomerate groups control approximately 80 percent of APRA-regulated institutions’ assets.

Credit Risk

APRA Drafts Banks’ Reporting Requirements

By Editors | 02/08/2016

Regulator proposes changes to reporting of banks’ international exposures.

Conduct, Culture & Accountability

ASIC Appoints New Markets Disciplinary Chairman

By Editors | 02/08/2016

The MDP reviews disciplinary action of market participants for alleged breaching regulator’s integrity rules.

Operational Risk

ASIC Proposes New Fund Risk Regulation

By Samuel Riding | 22/07/2016

Proposals aim to ensure risk management systems are adaptable, effective.

Conduct, Culture & Accountability

ASIC to Step up Monitoring of Bank Culture

By Samuel Riding | 21/07/2016

Australian public regards financial sector as having weakest ethics, Governance Institute survey finds.

Market Data & Technology

ASX Chooses Metamako

By Samuel Riding | 21/07/2016

Australian exchange to use Metamako for real-time monitoring of new trading platform.

Trading & Investment

ASIC Issues IPO Due Diligence Report

By Samuel Riding | 15/07/2016

Poor due diligence correlates with defective prospectus disclosures, study finds.

Structural Regulation

ASIC Consults on Market, Securities Class Orders

By Samuel Riding | 14/07/2016

Regulator proposes to remake nine instruments, vary or repeal three.