Company: Australian Securities and Investments Commission

55 results found

The Australian regulator will establish a new regtech industry liaison network

The ASIC calls on the financial industry to heed the results of new academic research into effective whistleblowing.

The ASIC is making the move, which will consolidate obligations and prohibitions for licensed financial markets, to reduce regulatory red tape

Under the exemption, fintech firms will be allowed to experiment their new, innovative services with a limited number of retail investors

ASIC wants to ensure retail advice firms put processes in place to compensate their clients for losses suffered as result of advisor misconduct

Report sheds light on effects of a new best interests standard

Australian regulator is committed to facilitating innovation in financial services

An upcoming consultation paper will propose a new exemption that will allow startups to run early-stage tests of new businesses without having to be licensed

A separate ASIC report reviews conflicts of interest in in vertically integrated funds management businesses

Australian report designed to help financial firms prepare, respond and recover