Category: Resources

Regulatory update – 20 June

Australian Securities and Investments Commission Finfluencers Beware. ASIC has issued warnings to 18 finfluencers as part of a global effort to tackle those promoting high-risk products. Read More Here.  Super Trustees need to be customer-focused. ASIC Chair Joe Longo calls on the super industry to improve their business practices to support customers. Read More Here. Inquiry into the ASX. ASIC will […]

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Regulatory update – 6 June

Australian Securities and Investments Commission Compliance deficiencies in the Managed Investment Industry. An ASIC assessment has found that most responsible entities failed to adequately address critical requirements of the design distribution obligations and internal dispute resolution, and reportable situations schemes. Read More Here.  Getting sustainability reporting right. ASIC is committed to helping the next two groups of reporting entities get […]

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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 […]