Category: News

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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Regulatory Update – 7 November

Australian Securities and Investments Commission $20 million penalty for compliance failings. RAMS Financial Group failed to meet its obligations under the Australian Credit License when it came to home loans between 2019 and 2023. Read More Here. Updated guidance for digital assets innovation and new consultation. ASIC has updated guidance related digital assets so that […]

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Regulatory Update – 24 October

Australian Securities and Investments Commission  Super and retirement communication gaps. ASIC Report 818 From superficial to super engaged: Better practices for trustee retirement communications found that trustees might not be tailoring their messages to ‘engage meaningfully’ with their members. Read More Here. Update on Auditing Guidance . Regulatory Guide 260 Communicating findings from audit files to directors, […]

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