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Australian Regulatory Compliance Review 
information about Australian laws, regulations and legal compliance particulartly in the financial services industry
Post Frequency: 8.2/day Last Entry: June 15, 2014 at 16:41:06 Recent Entries: 1301
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Australian Regulatory Compliance Review has moved
Posted on January 01, 2010After 5 and a half years and 1816 posts, Australian Regulatory Compliance Review has moved here in order to provide better services to you. The RSS Feed is here. If you subscribe by email to this service your emails should continue. If they don’t, go to our subscriptions page to re-subscribe...
Preparing for 2010
Posted on December 24, 2009Thank you for reading our news services over the past year. On behalf of the Langes+ team I wish you a happy, successful and healthy 2010. If you are taking an extended break, we look forward to talking to you on your return. Langes+ services will be available over the holiday season...
Preparing for 2010
Posted on December 23, 2009Thank you for reading our news services over the past year. On behalf of the Langes+ team I wish you a happy, successful and healthy 2010. If you are taking an extended break, we look forward to talking to you...
Government Response to the Productivity Commission Annual Review of Regulatory Burdens
Posted on December 23, 2009The Federal Government has responded to the Productivity Commission report ? Annual Review of Regulatory Burdens on Business: Social and Economic Infrastructure Services . The Productivity Commission's concerns covered a wide range of regulated schemes and activities relating to the social and economic infrastructure sector, including: aged care; child care; information media and telecommunications; electricity, gas, [...
Government Response to the Productivity Commission Annual Review of Regulatory Burdens
Posted on December 22, 2009The Federal Government has responded to the Productivity Commission report ? Annual Review of Regulatory Burdens on Business: Social and Economic Infrastructure Services . The Productivity Commission's concerns covered a wide range of regulated schemes and activities relating to the...
Simplified PDS?s for superannuation and managed investment product disclosure
Posted on December 21, 2009Treasury has released for public comment draft regulations and an example Product Disclosure Statement (PDS) for superannuation and managed investment product disclosure prepared by the Financial Services Working Group (the Working Group). Under the proposed regimes, Product Disclosure Statements (PDSs) will be limited to six A4 pages of key information presented in a clear and uncomplicated [...
Disclosure requirements for non-standard margin lending facilities
Posted on December 21, 2009ASIC has released Consultation Paper 129 Non-standard margin lending facilities ? improving disclosure for retail clients (CP 129) which sets out the key features and risks which ASIC proposes should be disclosed in a Product Disclosure Statement (PDS)...
Handling of confidential information by listed companies: ASIC guide
Posted on December 21, 2009ASIC has released Consultation Paper Handling confidential information (CP 128) and the attached draft regulatory guide for discussion. The paper sets out a range of best practice guidelines for companies and their advisers who are in receipt of confidential, price-sensitive information...
Copenhagen Accord on climate change
Posted on December 20, 2009The UN Climate Change Conference in Copenhagen has ended with an Accord: We agree that deep cuts in global emissions are required according to science, and as documented by the IPCC Fourth Assessment Report with a view to reduce global...
Draft AML/CTF Rules on the Register of Providers of Designated Remittance Services
Posted on December 20, 2009Austrac has released draft rules which allow the AUSTRAC Chief Executive Officer (CEO) to remove from or refuse to enter onto the Register of Providers of Designated Remittance Services, a person's name and registrable details, if the AUSTRAC CEO considers...
Simplified PDS's for superannuation and managed investment product disclosure
Posted on December 20, 2009Treasury has released for public comment draft regulations and an example Product Disclosure Statement (PDS) for superannuation and managed investment product disclosure prepared by the Financial Services Working Group (the Working Group). Under the proposed regimes, Product Disclosure Statements (PDSs)...
Disclosure requirements for non-standard margin lending facilities
Posted on December 20, 2009ASIC has released Consultation Paper 129 Non-standard margin lending facilities ? improving disclosure for retail clients (CP 129) which sets out the key features and risks which ASIC proposes should be disclosed in a Product Disclosure Statement (PDS)...
Handling of confidential information by listed companies: ASIC guide
Posted on December 20, 2009ASIC has released Consultation Paper Handling confidential information (CP 128) and the attached draft regulatory guide for discussion. The paper sets out a range of best practice guidelines for companies and their advisers who are in receipt of confidential, price-sensitive...
Copenhagen Accord on climate change
Posted on December 20, 2009The UN Climate Change Conference in Copenhagen has ended with an Accord: We agree that deep cuts in global emissions are required according to science, and as documented by the IPCC Fourth Assessment Report with a view to reduce global emissions so as to hold the increase in global temperature below 2 degrees Celsius, and take [...
Draft AML/CTF Rules on the Register of Providers of Designated Remittance Services
Posted on December 20, 2009Austrac has released draft rules which allow the AUSTRAC Chief Executive Officer (CEO) to remove from or refuse to enter onto the Register of Providers of Designated Remittance Services, a person's name and registrable details, if the AUSTRAC CEO considers that those details would constitute an unacceptable money laundering or terrorism financing risk...
Westpac v ASIC: replacement unsolicited debit cards permitted
Posted on December 17, 2009In Westpac Banking Corporation v Australian Securities & Investments Commission [2009] FCA 1506 the Federal Court decided that by sending a Westpac Debit MasterCard card to 424,000 of its existing Handycard holders, Westpac had sent such cardholders the Debit MasterCard...
Westpac v ASIC: replacement unsolicited debit cards permitted
Posted on December 17, 2009In Westpac Banking Corporation v Australian Securities & Investments Commission [2009] FCA 1506 the Federal Court decided that by sending a Westpac Debit MasterCard card to 424,000 of its existing Handycard holders, Westpac had sent such cardholders the Debit MasterCard card in renewal or replacement of, or in substitution for, a card of the same kind [...
Cooper Superannuation System Review Preliminary Report
Posted on December 15, 2009The Cooper Review of the superannuation system has published its Preliminary Report on Governance issues. It has also published a new Issues Paper on the structure of superannuation funds.
Cooper Superannuation System Review Preliminary Report
Posted on December 14, 2009The Cooper Review of the superannuation system has published its Preliminary Report on Governance issues. It has also published a new Issues Paper on the structure of superannuation funds.
Achieving product rationalisation for managed investment schemes and life insurance products
Posted on December 14, 2009Treasury has released a proposals paper for consultation about a proposed product rationalisation framework for managed investment schemes and life insurance products. Product rationalisation is a process of converting or consolidating products of a similar nature into a single product with equivalent features and benefits...
Achieving product rationalisation for managed investment schemes and life insurance products
Posted on December 13, 2009Treasury has released a proposals paper for consultation about a proposed product rationalisation framework for managed investment schemes and life insurance products. Product rationalisation is a process of converting or consolidating products of a similar nature into a single product...
ASX Corporate Governance Council gender diversity recommendations
Posted on December 13, 2009The ASX Corporate Governance Council has announced proposed changes to the Corporate Governance Principles and Recommendations which will include a new recommendation requiring each listed entity (on an ?if not, why not?? basis) to establish a diversity policy that includes...
ASIC regulatory guide on schemes of arrangement
Posted on December 13, 2009ASIC has released an updated Regulatory Guide 60 Schemes of arrangement (RG 60) and Consultation Paper 127 Schemes of arrangement: Statements under s411(17)(b) (CP 127). Amongst other things ASIC is considering what future guidance might be provided regarding schemes which...
AWB update: ASIC v Lindberg
Posted on December 10, 2009More than 3 years after the Cole Inquiry report into AWB's activities in the UN Oil for Food Program was published, ASIC civil proceedings against the former AWB CEO are still not resolved. The latest decision in Re AWB Ltd...
Australian Consumer Law stage 2
Posted on December 08, 2009The Ministerial Council on Consumer Affairs (MCCA) has agreed to the final form of the Australian Consumer Law which will take full effect on 1 January 2011. It will introduce a single, national law for fair trading and consumer protection,...
Personal Property Securities: draft amendments to Corporations Act
Posted on December 08, 2009The Attorney-General's Department is seeking comments on the exposure draft of the Personal Property Securities Bill (Corporations and other Amendments Bill) 2009. The exposure draft Bill proposes amendments to the Corporations Act 2001 consequential on passage of the Personal Property...
AML draft rules released for comment
Posted on December 08, 2009Austrac has released the following draft rules for comment until 15 January 2010: amending the definition of 'designated business group' to allow reporting entities that are either a representative or sub-representative of a money transfer service provider, and who provide...
Business regulation update: COAG December 2009
Posted on December 07, 2009The Communique from the Council of Australian Governments? Meeting on 7 December 2009 includes a "Report Card" on business regulation and competition reform. It covers progress on: national licensing system for air conditioning and refrigeration mechanics, building and building-related occupations;...
ASIC consults on corporate bonds
Posted on December 07, 2009ASIC has released Consultation Paper 126 Facilitating Debt Raisings to assist with the development of a sustainable listed corporate bond market in Australia. The Consultation Paper proposes relief from long form prospectus requirements subject to the following conditions: the companies...
ASIC issues policy guidance on margin lending licensing
Posted on December 07, 2009ASIC has released policy and regulatory guidance to assist issuers and advisers of margin lending facilities comply with new licensing, conduct and disclosure requirements, following the passage of the Corporations Legislation Amendment (Financial Modernisation) Act 2009 (the Act)...
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