Category: News

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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Regulatory Update – 10 October

Australian Securities and Investments Commission   Misleading conduct. ASIC alleges that Fiducian Investment Management failed to ensure its sustainability claims were consistent with its PDS. Read More Here. Auditing Compliance Failures. ASIC’s Report 817 Building Trust: Auditor compliance with independence and conflict of interest obligations finds that that many auditing firms are failing met their […]

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CEO Update – September 29  

Dear Members,    It’s an exciting time for the ACI as we prepare for several major events that bring our community together, showcase excellence, and strengthen the profession.  Annual Conference […]