What’s new

This is where we keep you up to date with all the latest in compliance: updates from regulators, media coverage and events. Check this page regularly to stay informed.

Breaking News! Carbon and Emissions Units soon to become financial products

This is a massive impact on AFSL requirements for energy traders click here » to find out more

ASIC CP168: Australian Equity Market Structure

Find out how ASIC's proposed changes to the Market Integrity Rules could affect Market Participants click here » to find out more

ASIC releases Advertising Guidelines

People advertising financial products and services will soon have new guidelines to follow click here » to find out more

New law on customer identity verification

Reporting entities have a new method of verifying their customer's identity click here » to find out more

Decision in Centro Civil Penalty Case

The Federal Court decision has been handed down, click here » to find out how this will affect directors of companies

AUSTRAC recoups fees

AUSTRAC have released information on how they will recover their costs, click here » to read more

ASIC targets loopholes in stockbroking

Stockbrokers voice concerns over indirect brokers click here » to read more

ASIC consults on market capital rules

To read about ASIC's proposals for market integrity rules click here »

ASIC sets out Market Disciplianary Panel Procedures

ASIC has released guidance on the operational framework for the Market Disciplinary Panel click here to read more »

New rules for OTC derivatives issuers

ASIC has released a consultation paper outlining proposed financial requirement rules for retail OTC derivative issuers click here to read more »

ASIC consults on Market Integrity Rules for the Chi-X Market

ASIC has released a consultation paper outlining how the market integrity rules will apply to Chi-X click here to read more »

ASIC announces timetable for the introduction of market competition

Find out about ASIC's timetable for the introduction of market competition click here »

Wholesale and Retail Clients

The Assistant Treasurer has released an paper reviewing the distinction between wholesale and retail clients click here to read more »

ASIC Standardises Reporting of Short Positions

ASIC has released a class order standardising the reporting of short positions click here to read more »

ASIC releases proposals for market integrity rules

Find out how ASIC proposes to regulate the equity market in Australia by clicking here clicking here »

Market Integrity Rules

ASIC releases their market integrity rules, find out more by clicking here »

ASIC to take over market supervision

From 1 August 2010 ASIC will take over market supervision from the ASX, find out more by clicking here »

ASIC delays rumour rules

But remains on the case, to find out more click here »

Margin Loan Regulations made

The regulations come into force on 1 January 2011; to find out what you need to do in order to prepare click here »

Australia's Future Tax System

The Henry Tax Review has been released, find out how it affects you by clicking here »

Rudd delays ETS

For more information click here »

ASIC releases short selling guidance

Short selling reporting requirements commence soon, find out how this affects you by clicking here »

Overhaul of Financial Advice

For information on how the government plans to reform the advice provided to retail investors,click here »

Rumourtrage closes, another door opens

Project Mint may have closed, but ASIC still has big plans click here »

Credit Licensing Conduct Guide Released

For more information click here »

ASIC Consultation Paper on Handling Confidential Information

For more information click here »

ASIC charge's two with insider trading

Click here » for more information

Proposed New Powers for ASIC

The Government is proposing changes to increase penalties for market misconduct, click here to find out more

Reforms to the Supervision of Australia's Financial Markets

Exposure Draft Legislation provides ASIC with additional powers, find out more by clicking here »

Draft Regulations: Eligible Emissions Units as Financial Products

To find out how this could affect your business click here »

AUSTRAC commences onsite inspections

Are you prepared? To find out how Certainty can help click here »

Exposure Draft Legislation for Carbon Pollution Reduction Scheme released

The draft Bill provides details relating to the emissions trading scheme; to find out more click here »

ASIC further extends ban on covered short selling of financial securities

Find out more click here »

ASIC extends ban on covered short selling of financial securities

Find out more click here »

ASIC announces continuation of exemptions in relation to naked short selling

For information on what you need know about naked short selling click here »

AML/CTF compliance reports due by 31 March 2009

For what's required Click here »

FSA proposes to lift ban on short selling

To find out more: Click here »

Draft AML/CTF Rules relating to customer identification procedures where a business is transferred, sold or restructured to another entity

To find out more: Click here »

Financial Sanctions against Zimbabwe

To find out more: Click here »

Short Selling Bill Passes the Parliament

What does this mean now? Read more »

ASIC guidance for prepraration of 31 December 2008 financial reports

Information on what ASIC expects in your next financial report:Read more »

New AML/CTF obligations to take effect from 12 December 2008

For more information:Read more »

ASIC to lift ban on covered short selling for non-financial securities from 19 November 2008

For more information:Read more »

ASIC announces requirements for disclosure and reporting of short sales from 19 November 2008

For more information:Read more »

ASIC expands short selling relief for convertible securities

For more information:Read more »

ASIC Bans Short Selling - Update

For updated information:Read more »

AUSTRAC releases interpretation of reporting obligations legislation

For more information:Read more »

Proposed changes to EFT Code of Conduct

For more information:Read more »

Treasury releases exposure draft of the Corporations Amendment (Short Selling) Bill 2008

For more information:Read more »

National Consumer Credit Regulation

Read about the move to a national consumer credit regime. Read more »

Cross Border Marketing of Retail Funds - Australia/Hong Kong

Find out how your ASIC registered scheme could now also be offered in Hong Kong. Read more »

Mutual Recognition of Securities Offerings

The Governments of Australia and New Zealand have announced a trans-Tasman mutual recognition scheme for offers of securities. Read more »

Temporary PDS & FSG relief for Members of FICS, IOS and BFSO

Members of these services have been granted relief by ASIC, see what the conditions are. Read more »

Green Paper on Financial Services and Credit Reform

The Government has released it's much anticipated proposals for reform of the finance and credit industries. Read more »

ASIC announces results of strategic review

Results of stakeholder surveys helped establish ASIC's strategic objectives and plans for the next three to five years. Read more »

ASIC Updates Training Register

ASIC have made a number of improvements to their Training Register. Read more »

Regulatory News: Market Volatility

A topic in the news a lot recently, ASIC and the ASX have both released commentary. Read more »

Accountants and Self Managed Superannuation Funds

SMSFs have become the topic of regulatory interest lately; as an accountant, how could this affect you? Read more »

First AUSTRAC Compliance Report Deadline Approaches

All reporting entites are required to lodge a compliance report, this includes most holders of an AFSL Read more »

AML Obligations and Managed Investment Schemes

Are you in the business of issuing or selling interests in MIS? Find out how the AML/CTF Act affects you now. Read more »

Compensation and Insurance Arrangements for AFS Licensees

All AFS Licensees providing financial services to retails clients must hold professional indemnity insurance. Read more »

ASIC reissues its AFS Licensee Organisational Capacity Policy

Policy Statement 164 Licensing: Organisational Capacities, has been reissued as two new Regulatory Guides. Click here for how this may affect you: Read more »

AUSTRAC Draft AML/CTF Rules

AUSTRAC Draft AML/CTF Rules exempting certain types of OTC derivative transactions involving wholesale electricity, gas and renewable energy certificates. Read more »

AUSTRAC releases Anti-Money Laundering compliance rules

The Australian Transactions Reports and Analysis Centre (AUSTRAC) has released the first set of Rules that financial services businesses need to follow in order to comply with the Anti-Money Laundering and Counter Terrorist Funding Act 2006 (AML/CTF Act). Read more »