Australian Securities and Investments Commission (Asic)
Top 10 op risks 2019: mis-selling
Concern over sales practices remains amid economic and political uncertainties
EU close to granting swaps-trading equivalence to Singapore
Planned MAS trading obligation would otherwise seal off local traders from global liquidity
RBS mortgage mis-selling returns to haunt lender
Megan van Ooyen from SAS rounds up the top five op risk losses for October
Australian banks fear loss of rates trading name give-up
A push towards anonymous trading via platforms could undermine counterparty risk management
Aussie market clearing well ahead of April mandate
Largest onshore derivatives dealers already caught by US and European rules
Harmonisation will always be elusive, says Asic commissioner
Australian securities regulator balances international standards with national rules
Australian regulator may review nexus trade approach
Asic commissioner hints at reviewing treatment of nexus trades
Regulatory and supervisory deference in the context of Australia’s over-the-counter derivative trade reporting and derivative trade repositories regimes
This paper provides an Australian regulatory perspective on the over-the-counter landscape and shows how regulatory deference can play a facilitating role in the cross-border context.
Australia probes AUD spike prior to rates decision
Australia's authorities look into sudden moves in the Aussie's value
Australia banks may need to boost capital ratios by $50bn
Government review calls for bank capital levels in "top quartile"
Divergent nexus rules threaten reporting chaos in Asia
Australia reporting rules differ from those in Hong Kong, Singapore
Asic reporting definition 'unworkable' say foreign banks
Australia move ends hope of a regional reporting standard emerging
Asic calm over HFT impact but Australian buy-side lobby groups disagree
Lack of hysteria does not equal complacency, says securities regulator
DTCC says phased Asia trade reporting process smoother than in Europe
Challenges remain around secrecy provisions
Australia to receive go-ahead for CFTC substituted compliance
Australian market will broadly be able to follow domestic rules to comply with Dodd-Frank
CFTC extends no-action relief to sole Asian Sef
Australia-based Yieldbroker can continue to service US clients while CFTC considers its Sef application.
Asic hopeful of receiving substituted compliance from CFTC
Australian securities regulator positive about receiving US approval for the domestic regulatory regime
Asic temporarily exempts Australian banks from non-CFTC trade reporting requirements
Australian industry needs additional time to set up trade reporting infrastructure
Australia mandates OTC clearing to ensure substituted compliance
Global regulatory agenda drives switch from market-based incentives to clearing
Asic trade reporting rules seek convergence with international standards
Australian trade reporting rules to be in force by October
Power proves a tough choice for Australian regulators
Supervisors must decide whether to include electricity in derivatives reform despite high prices and industry opposition
ASX and LCH battle for Australian clearing market
Two's a crowd?
