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ASIC Asset Management Compliance

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Directors' Responsibilities for Sustainability Reporting—ASIC's Views

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Introduction - When directors and officers of reporting entities are assessing how to prepare for complying with the new sustainability reporting obligations, it is tempting to look to the Australian Securities and...more

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AI and Your Obligations as an Australian Financial Services Licensee

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On 29 October 2024, the Australian Securities and Investments Commission (ASIC) published REP 798 Beware the gap: Governance arrangements in the face of AI innovation. This report details ASIC's findings from a review of how...more

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Not That FAR Away

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On 15 March 2024, the Financial Accountability Regime (FAR) came into effect for authorised deposit-taking institutions (ADIs), replacing the Banking Executive Accountability Regime (BEAR). Unlike the BEAR, application of the...more

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Does Your Custody Agreement Comply?

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All custody agreements will need to comply with new content requirements from 1 November 2015 as set out by the Australian Securities & Investments Commission (ASIC) in Regulatory Guide 133: Managed investments and custodial...more

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