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All Australian Securities and Investment Commission (ASIC)

ABN AMRO Clearing Sydney Pty Ltd Pays $40,000 Infringement Notice Penalty

ABN AMRO Clearing Sydney Pty Ltd Pays $40,000 Infringement Notice Penalty

Greg Medcraft ASIC chairman - ABN AMRO Clearing Sydney Pty Ltd ("ABN AMRO") has paid a penalty of $40,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel ("MDP"). The penalty was for failing to demonstrate prudent risk management procedures by not setting and >>

ASIC And AFSA Announce Refreshed Memorandum Of Understanding

ASIC And AFSA Announce Refreshed Memorandum Of Understanding

Greg Medcraft ASIC chairman - Australian Financial Security Authority’s Chief Executive Veronique Ingram and Commissioner John Price of the Australian Securities and Investments Commission (ASIC) have announced the release of a new Memorandum of Understanding (MOU) between AFSA and >>

ASIC And U.S. Commodity Futures Trading Commission Sign Memorandum Of Understanding To Enhance Supervision Of Cross-border Regulated Entities

ASIC And U.S. Commodity Futures Trading Commission Sign Memorandum Of Understanding To Enhance Supervision Of Cross-border Regulated Entities

Greg Medcraft ASIC chairman -ASIC and The U.S. Commodity Futures Trading Commission (CFTC) have signed a Memorandum of Understanding (MOU) regarding cooperation and the exchange of information in the supervision and oversight of regulated entities that operate on a cross-border basis in the United >>

ASIC OTC derivatives trade reporting requirement

ASIC OTC derivatives trade reporting requirement

Greg Medcraft ASIC chairman -A key part of ASIC’s OTC derivatives reform program is the requirement that OTC derivative transactions be reported to trade repositories. This information will be accessed by regulators such as ASIC, RBA and APRA for the purposes of their various regulatory mandates. >>

ASIC And MAS Sign World-first MoU On Authorities Access To OTC Derivatives Trade Repository Data

ASIC And MAS Sign World-first MoU On Authorities Access To OTC Derivatives Trade Repository Data

Greg Medcraft ASIC chairman -ASIC and the Monetary Authority of Singapore (MAS) have entered into a Memorandum of Understanding (MOU) to allow trade repositories licensed in one jurisdiction to provide relevant data to the authority in the other jurisdiction. Through this MOU, ASIC and MAS >>

ASIC Grants First Trade Repository Licence

ASIC Grants First Trade Repository Licence

Peter Tierney, Regional Head, DTCC -ASIC has granted an Australian derivative trade repository (ADTR) licence to DTCC Derivatives Repository (Singapore) Pte Ltd (DDRS). ASIC Commissioner Cathie Armour said the ADTR licence is the first of its kind granted by ASIC and is a key step in ASIC's >>

Merrill Lynch Equities (Australia) Limited Pays $96,000 Infringement Notice Penalty

Merrill Lynch Equities (Australia) Limited Pays $96,000 Infringement Notice Penalty

Greg Medcraft ASIC chairman - Merrill Lynch Equities (Australia) Limited (Merrill Lynch) has paid a total penalty of $96,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (MDP). The penalty was for: failing to have in place an appropriate automated >>

ASIC Consults On Red Tape Reduction Proposals For ASIC Market Integrity Rules

ASIC Consults On Red Tape Reduction Proposals For ASIC Market Integrity Rules

Greg Medcraft ASIC chairman -ASIC has identified obligations under the ASIC market integrity rules that could be repealed or refined to reduce the compliance burden on market participants. Consultation Paper 222 Reducing red tape: Proposed amendments to the market integrity rules (CP 222) sets >>

ASIC Repealed Real Time Short Sale Tagging Rule

ASIC Repealed Real Time Short Sale Tagging Rule

Greg Medcraft ASIC chairman -ASIC has repealed the short sale tagging obligation in Part 5.12 of the ASIC Market Integrity Rules (ASX Market) 2010 (ASX), ASIC Market Integrity Rules (Chi-X Australia Market) Amendment 2011 (Chi-X) and ASIC Market Integrity Rules (APX Market) 2013. Consequently, >>

ASIC Consults On Technical Changes To Trade Reporting Obligations for OTC Derivatives

ASIC Consults On Technical Changes To Trade Reporting Obligations for OTC Derivatives

Greg Medcraft ASIC chairman - ASIC is seeking feedback on proposed revisions to the rules that require the mandatory trade reporting of over-the-counter (OTC) derivatives such as interest rate swaps. The proposals are aimed at ensuring a smooth transition to the reporting regime and follow a >>