Category: Resources

AUSTRAC: AML/CTF Reform

Beyond Compliance: Embracing the New Outcomes-Based AML Framework In June 2025, AUSTRAC’s Financial Crime Discussion Group gathered leading voices from across compliance, finance, and regulation to unpack Australia’s most significant anti-money laundering (AML) reform in over a decade. The shift to an outcomes-based regulatory model is not just a legislative update. It represents a deeper, sector-wide […]

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Managing Privacy Risks

Privacy in a Tech-Driven World: Why Human Risk and Third-Party Oversight Must Lead the ConversationWhen a data breach impacts millions, as seen in the recent Qantas incident, it forces those of us in compliance and risk to dig deeper. Not just into systems and policies, but into the people and partners behind them.At a recent […]

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Regulatory update – 23 May

Australian Securities and Investments Commission Snaffle is alleged to have inflated prices. Snaffle, a consumer goods supplier,  is alleged to have overcharged for household goods and household appliances. Read More Here.    Resimac allegedly applies a ‘one size fits all’ approach to hardship cases.  ASIC alleges Resimac applied a blunt-edged approach to vulnerable customers and breached their obligations […]

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Regulatory update – 9 May

Australian Securities and Investment Commission Macquarie Bank is facing additional conditions for system failures. Macquarie Bank is facing additional conditions for what ASIC commissioner Simone Constant calls ineffective supervision, weak compliance and change management. Read More Here.  The new ASIC portal for licensees is here.  Earlier this month, ASIC launched the new portal for Australian financial services […]

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Regulatory update – 24 April

Australian Securities and Investment Commission Former employees of a mining company face director breach allegations. Wiluna Mining Corporation, former Chair Milan Jerkovic and former chief commercial officer James Malone face allegations of false and misleading statements. Read More Here.   New portal for Australian Financial Services Licenses. ASIC is launching a new portal for Australian Financial Licenses on 5 […]

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Managing 3rd Party Risk

The New Frontier of Third-Party Risk Management: Beyond Contracts to Culture, Curiosity, and Continuous Oversight In an increasingly volatile and interconnected global landscape, the very nature of outsourcing has evolved far beyond the simple quest for cost efficiency. Today, the prudent compliance professional must navigate a labyrinth of ethical considerations, geopolitical influences, supply chain vulnerabilities, […]

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Scam Protection 101

Scams, Psychology and Accountability: Why Australia Must Rethink Its Scam Prevention Strategy   Scams are not just a technology issue—they are a human issue. And in a digital economy where real-time payments are accelerating and artificial intelligence is enhancing the sophistication of fraudulent schemes, Australian organisations must do more than build technical defences—they must build […]

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Regulatory update – 28 March

Australian Securities and Investments Commission Active Super to pay $10 million penalty for Greenwashing. This $10.5 million penalty comes almost a year after the Federal court found Active Super guilty of indirect investments in gaming and coal. Read More Here.  ASIC review into car finance.  ASIC will be focusing on lenders, brokers and other intermediaries in the car […]

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Regulatory update – 14 March

  Australian Securities and Investments Commission ASIC alleges AustralianSuper has failed to act efficiently, honestly and fairly with death benefits. ASIC alleges that AustralianSuper took 15 to 213 days to provide claim forms in 254 cases between July 2019 and October 2024. Read More Here. New guidance on student loans.  ASIC has updated the Regulatory Guide  209 […]

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CEO Update 5 March

We are excited to introduce our refreshed website, designed to enhance your experience with streamlined navigation, updated content, and a modern look that reflects our evolving brand. Whether you’re seeking […]