Authorised Deposit-taking Institutions Points of Presence
APRA issues annual listing of banking services provided to Australians by ADIs, and changes and trends.
Originally Published:
Wednesday, August 21, 2013
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FCA issues FG13/5 – The use of the group exclusion and the CREST regulated activity
FCA issues note giving views on the availability of the group exclusion for the CREST regulated activity.
Originally Published:
Tuesday, August 20, 2013
FCA bans and fines two for failing to monitor promotion of Unregulated Collective Investment Schemes
FCA finds that John Leslie and Jeffrey Bennett failed to exercise due skill, care and diligence in their controlled functions at two London-based financial advisory firms.
Originally Published:
Friday, August 16, 2013
Adviser numbers in line with expectations
FCA figures reveal number of retail investment advisers is within range predicted following implementation of standards under Retail Distribution Review (RDR).
Originally Published:
Thursday, August 15, 2013
APRA releases letter to proposed Level 3 groups
APRA has released a letter to potential Level 3 groups in response to practical constraints preventing effective implementation of the Level 3 framework by 1 January 2014.
Originally Published:
Wednesday, August 14, 2013
APRA releases technical guidance on the FCS
APRA has issued technical guidance to ADIs on their compliance with the requirements of APS 910.
Originally Published:
Wednesday, August 14, 2013
APRA releases letter to ADIs, general insurers and life companies
APRA has released a letter in response to practical constraints preventing effective implementation of CPS 220 standards by the originally proposed date of 1 January 2014.
Originally Published:
Wednesday, August 14, 2013
CPSS and IOSCO issue report on authorities’ access to trade repository data
CPSS and IOSCO publish report providing recommended guidelines as to authority access to data held by trade repositories.
Originally Published:
Monday, August 12, 2013
CLMR Working Paper 13-3: The implications of complexity for systemic risk in the superannuation system
This paper introduces a programme of research considering the nature, impact and regulatory implications of systemic risk within the superannuation system.
Originally Published:
Monday, August 12, 2013
Implementation of the Basel III liquidity framework in Australia
APRA releases note providing further detail on implementation of Basel III liquidity framework and on operation of Committed Liquidity Facility.
Originally Published:
Thursday, August 8, 2013