Category: News

Regulatory Update – February 27

Australian Securities and Investments Commission Are you up to date with the financial advice requirements? ASIC released a list of all the developments in the financial advice space, including a new review of financial advice lead generation. Read More Here.Employee entitlement schemes info sheet.  ASIC released Information Sheet 295 Employee Entitlement Schemes, which outlines their […]

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CEO Update – February 16

Dear Members, As regulatory expectations continue to evolve, it is clear that compliance professionals are operating in increasingly complex environments that demand sound judgement, practical capability and strong professional support. […]

Regulatory Update – February 13

Australian Securities and Investments Commission  New ASIC Chair from June. Sarah Court, who has been the ASIC Deputy Chair for five years, will be the new ASIC Chair from the first of June. Read More Here.  Super industry to better support scam victims. ASIC Commissioner Simone Constant is calling on the superannuation industry to move […]

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CEO Update – February 2

Dear Members, As we return from the festive season, I hope you had the opportunity to rest, reset and spend meaningful time with those important to you. The start of […]

Regulatory Update – 30 January

Australian Securities and Investments Commission ASIC’s key issues outlook for 2026. ASIC highlights greater client exposure to private credit markets, operational failures by superannuation fund trustees and increased cyber-attacks and data breaches as some the key issues for 2026. Read More Here.  BPS to pay for operating without a license. BPS Financial will pay a […]

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Regulatory Update – 16 January

Australian Securities and Investments Commission Updates to financial reporting. ASIC is looking for feedback for Regulatory Guide 43 Financial Reports and audit relief. The proposed updates will simplify and bring the guidance in line with legislative reform. Read More Here. Audit company Allegations of false and misleading statements. ASIC has taken BDO AUDIT (WA) and […]

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Regulatory Update – 19 December

Australian Securities and Investments Commission  Renewed conflicts of interest guidance. ASIC updated the Regulatory Guide 181 AFS Licensing: Managing Conflicts of Interest (RG 181). Some of the key updates include the scope of conflicts management obligations, the types of conflicts to be identified and practical steps to effective conflicts management. Read More Here.  Do you understand sustainability […]

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CEO Update – December 8

Dear Members,    I hope you’re winding down gently as we approach the end of another big year in compliance. It was truly lovely to catch up with many of […]

Regulatory Update – 5 December

Australian Securities and Investments Commission   Improve whistleblowing practices. ASIC’s recent Report 827 Insights from the ASIC Whistleblower Questionnaire: July 2024 to June 2025 has identified opportunities for companies across Australia to improve their whistleblowing practices. Read More Here.  Defence systems contractor breaches obligations. Electro Optic Systems Holdings failed to meet its continuous disclosure obligations by […]

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Regulatory Update – 21 November

Australian Securities and Investments Commission The future of payments regulation. ASIC Commissioner Katie O’Rourke spoke at the Women in Payments Gala about trust and regulation of payment products and providers. Read More Here.  Three-year extension for super trustees for reporting relief. There is a three year extension to super annuation trustees under the ASIC Superannuation […]

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