ASIC View Episode 1: Financial Services Enforcement
Tim Mullaly (Senior Executive Leader, Financial Services Enforcement at the Australian Securities and Investments Commission) talks about the work he and his team does, the methods they employ to...
View ArticleASIC View Episode 2: How ASIC deals with reports of misconduct
Warren Day (Senior Executive Leader, Assessment and Intelligence at the Australian Securities and Investments Commission) talks about what happens when you make a report of alleged misconduct or a...
View ArticleASIC View Episode 3: Chairman Greg Medcraft on Culture
ASIC Chairman Greg Medcraft joins the podcast to talk about culture and its importance to the financial industry.
View ArticleASIC View Episode 4: Park Trent
Louise Macaulay (Senior Executive Leader, Financial Advisers at the Australian Securities and Investments Commission) speaks to the podcast about ASIC’s recent case involving Park Trent. This episode...
View ArticleASIC View Episode 5: Limited AFS licences for accountants providing SMSF advice
From July 1st this year, accountants will need to have a limited AFS licence if they are providing SMSF advice. ASIC Commissioner Greg Tanzer talks to Hilarie Dunn about why this change is necessary...
View ArticleASIC View Episode 6 - Commissioner Greg Tanzer on ASIC’s latest enforcement...
On the latest episode of ASIC View, Commissioner Greg Tanzer speaks about ASIC’s enforcement report for July-December 2015. He covers: - the key statistics from the report - major outcomes that support...
View ArticleASIC View Episode 7: ASIC Forum robo-advice session
The following is an excerpt from a session at ASIC’s 2016 Annual Forum on robo-advice. The session covers: How does robo-advice sit alongside traditional financial advice? Where does robo-advice cause...
View ArticleASIC View Episode 8: Commissioner Cathie Armour on ASIC’s insider trading work
On the latest episode of ASIC View, ASIC Commissioner Cathie Armour discusses ASIC’s work in insider trading matters. Topics discussed include the damage done by insider trading, ASIC’s surveillance...
View ArticleASIC View Episode 9: Deputy Chair Peter Kell on investment scams
During Consumer Fraud Week 2016, the Australian Securities and Investments Commission is warning consumers and investors to ‘Wise Up to Scams’ and do some simple checks before they part with their...
View ArticleASIC View Episode 10: ASIC’s Indigenous Outreach Program
This week, ASIC View welcomes Michael Saadat, Senior Executive Leader, Deposit Takers, Credit and Insurers, and Nathan Boyle, an analyst with ASIC’s Indigenous Outreach program to talk about ASIC’s...
View ArticleASIC View Episode 11: ASIC’s Innovation Hub
This week, ASIC Commissioner John Price joins the podcast to discuss ASIC’s Innovation Hub and how it’s helping fintech startups. You can find out more about ASIC’s Innovation Hub by going to the...
View ArticleASIC View Episode 12: Due diligence practices for Initial Public Offerings
ASIC Commissioner John Price joins the podcast to talk about ASIC’s recent report examining the due diligence practices of issuers of securities under an initial public offering (IPO). Read our media...
View ArticleASIC View Episode 13: Review of Australian equity market cleanliness
Greg Yanco, Senior Executive Leader, Market Supervision at the Australian Securities and Investments Commission, joins the podcast to talk about ASIC’s recent review into Australian equity market...
View ArticleASIC View Episode 14: Add-on insurance report
ASIC has reviewed the sale of add-on general insurance policies through car dealers and found that the market is failing consumers. ASIC Deputy Chairman Peter Kell joins the podcast to discuss the...
View ArticleASIC View Episode 15: Macquarie, van Eyk and responsible entities
In August this year, The Supreme Court of New South Wales found that Macquarie Investment Management Ltd contravened the Corporations Act by failing to comply with its duties as a responsible entity of...
View ArticleASIC View Episode 16: Fees for no service report
Joanna Bird, Senior Executive Leader, Financial Advisers joins the podcast to discuss ASIC’s recent Report 499 - Financial Advice: fees for no service. The report provides an update on ASIC’s work to...
View ArticleEpisode 17: ASIC’s Workplace Giving Program
On this episode, we have a quick chat to ASIC in the Community Manager Justine Butler about ASIC’s workplace giving program, which has been awarded a silver medal in the inaugural Workplace Giving...
View ArticleEpisode 18: Whistleblowers
ASIC Commissioner John Price joins the podcast to discuss ASIC’s approach to whistleblowers and how they can be better encouraged and protected. More information on the topic is available here.
View ArticleEpisode 19: Commissioner Cathie Armour on Hochtief AG insider trading matter
On 8 December 2016, the Federal Court found that German construction group holding company Hochtief Aktiengesellschaft (Hochtief AG) engaged in insider trading in contravention of section 1043A(1)(d)...
View ArticleEpisode 20: Mark Adams on ASIC’s RegTech Roundtable
On 8 February, ASIC hosted a roundtable in Sydney and Melbourne for those with an interest in RegTech. The roundtable facilitated discussion on the current RegTech landscape and its development and...
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