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Australian regulator consults on new operational risk management prudential standard
The Australian Prudential Regulation Authority (APRA) has released its consultation on a new cross-industry prudential standard for operational risk …
AUSTRALIAN REGULATOR WINS CASE AGAINST FINANCIAL SERVICES LICENSEE FOR INADEQUATE MANAGEMENT OF CYBER RISKS
For the first time in Australia, the Federal Court has found that a failure to adequately manage cybersecurity risks constitutes a breach of general …
FSR Outlook 2022: Anticipating change, being prepared
Our Financial Services Regulatory (FSR) team surveys the regulatory landscape for 2022 and identifies themes that we expect to be at the core of …
Whistleblowing and the “compliance gap”: Australian regulator fires warning shot on whistleblower policies
'Set and forget' still too common on whistleblowing compliance, warns key business regulator.It’s almost 2 and a half years since new whistleblower …
FAR moving forward: What’s new and what next?
The Financial Accountability Regime Bill 2021 (FAR Bill) was introduced in the House of Representatives on 28 October 2021. This legislation will replace …
ASIC’s consultation on regulator guidance closes as financial service and credit licensees prepare for Australia’s breach reporting reforms
In April of this year, we wrote about draft guidance released by the Australian Securities and Investments Commission (ASIC) on the significant impending …
Regulator guidance the latest development in countdown to Australia’s breach reporting reforms
In December last year we wrote of the sweeping changes to Australia’s breach reporting regime that had been passed into legislation by Federal Parliament …
Pressure Points: Compliance and governance in financial services in the age of Covid-19 (Australia)
This article is the third in a series by our financial services team which will explore the practical implications of Covid-19 on the financial services …
COVID 19: Pressure Points: Operational disruption in financial services in the age of COVID-19 (Australia)
This article is the second in a series by our financial services team which will explore the practical implications of COVID-19 on the financial services …
The Fairness Doctrine: A Return to the Status Quo?
In October 2019, the Full Federal Court decision in ASIC v Westpac Securities Administration Limited [2019] FCAFC 187 (ASIC v Westpac) raised …
ASIC Proposes New Guidance on Ongoing Fee Arrangements
ASIC is proposing to issue guidance on how it will regulate ongoing fee arrangements (OFAs). Depending on the position it takes, these arrangements, …
FSR consultation package – the 2020 vision
One year on from the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry, the Federal Government has released …
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