News

• Authorised deposit-taking institutions’ Points of Presence Review. Submit by 23 June 2023. 

• Modernising Australia’s anti-money laundering and counter-terrorism financing regime. Submit by 13 June 2023. 

• Proposed class exemption to own or control an RSE licensee. Submit by 17 May 2023.

• Proposed technical determ...

It’s always good to get a regulatory perspective. It’s always interesting to see the regulatory priorities in different jurisdictions.  
 

The latest Risky Women Radio episode examines the role of the US-based regulator Office of the Comptroller of the Currency (OCC).
 

Senior Deputy Comptroller for Bank Supervision Policy Gro...

The Australian Securities and Investments Commission has updated Regulatory Guide 78 Breach Reporting by AFS licensees and credit licensees under the reportable situation regime. 
 

ASIC said in a formal statement that the updates deal with some operational challenges with the regime that came into force two years ago.  
 

...

• CP 369 Remaking ASIC class orders on platforms: [CO 13/762] and [CO 13/763]. Submit by 28 April 2023.

• Authorised deposit-taking institutions’ Points of Presence Review. Submit by 23 June 2023. 

• CP 368 Remaking ASIC class orders: [CO 13/519] and [CO 13/656]. Submit by 11 April 2023.

• Proposed changes to the quarterly authorised deposit-taking institution statistical publications.  Submit by 18 April 2023. 

• CP 369 Remaking ASIC class orders on platforms: [CO 13/762] and [CO 13/763]. Submit by 28 April 2023.

We are listening to part 2 of investing in testing this week: Is it in the test?

This continues by examining the importance of testing that performance and anti-money laundering training will be practical.  

Are you testing the actual capability of your staff?