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Headline Stories of the Week

Aussie regulator releases research report into retail investor ...

11 Aug 2022 Financial Service Intelligence Watch

Australia's ASIC has released Report 735 Retail investor research (REP 735) capturing retail investor motivations, attitudes and behaviours in the period following the onset of the COVID-19 pandemic. The research surveyed 1,053 Australian retail investors aged 18 and over who ...

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Criminal checks – Financial Action Task Force (FATF), ...

10 Aug 2022 Financial Service Intelligence Watch

The Financial Sector Conduct Authority (FSCA) published FSCA Communication 22 of 2022 regarding draft amendments to the Exemption by the Financial Sector Conduct Authority of Certain Persons from Joint Standard 1 of 2020. Applying to significant owners of all financial ...

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Draft amendment of the Exemption by the FSCA ...

10 Aug 2022 Financial Service Intelligence Watch

The Financial Sector Conduct Authority (FSCA) initially exempted certain persons from Joint Standard 1 of 2020 when it was published. The FSCA hereby amends the exemption ensuring that significant owners of FSP’s are subject to the Joint Standard pertaining to ...

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FST determination summary – Nkata Johannes Moloi and ...

10 Aug 2022 Financial Service Intelligence Watch

Summary of Financial Services Tribunal determination involving Nkata Johannes Moloi and First National Bank, a division of FirstRand Bank Limited. The following matter was handed down by the Financial Services Tribunal on 26 July 2022: · Nkata Johannes Moloi (Applicant) ...

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Latest Compliance News

Aussie regulator releases research report into retail investor motivations, attitudes and behaviours in the period following the onset of the Covid-19 pandemic

Australia's ASIC has released Report 735 Retail investor research (REP 735), capturing retail investor motivations, attitudes and behaviours in the period following the onset of the Covid-19 pandemic.

The research surveyed 1,053 Australian retail investors aged 18 and over who had directly traded in securities, derivatives or cryptocurrencies ...

Read More

Criminal checks – Financial Action Task Force (FATF), the Mutual Evaluation Report (MER), the Financial Sector Conduct Authority (FSCA), and fit and proper

The Financial Sector Conduct Authority (FSCA) published FSCA Communication 22 of 2022, regarding draft amendments to the Exemption by the Financial Sector Conduct Authority of Certain Persons from Joint Standard 1 of 2020. Applying to significant owners of all financial institutions, it seeks to reassess the requirements in the Joint Standard to determine the ...

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Latest Open-Source Library Items
Working Smart

By Lee Rossini

When asked, most men consider themselves to be an ally to, or supporter of, the cause of gender equality. This is, for the most part, good news. However, it is time to reconsider: defining yourself with the term 'ally' can diminish how much effort you put into genuinely supporting change. It can also appear to be more about you rather than women – and this has the effect of subverting the point of gender equality.

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