Jul 19

ASIC Commissioner John Price joins the podcast to discuss recent law reform around crowd-sourced funding and ASIC's role in administering the new legislation.

ASIC is currently inviting submissions on Consultation Papers 288 and 289. Any submissions, queries or comments can be sent to csf@asic.gov.au. (Submissions are due by 3 August 2017.)

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May 03

Paul Muthaura, Chief Executive of the Capital Markets Authority in Kenya, joins the podcast to talk about the relationship between technological innovation and regulation, particularly in terms of the M-Pesa, a mobile-based financing service in the Kenyan economy.

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Apr 30

Two members of ASIC's Market Integrity Team, Tom Veidners and Wendy Prince, join the podcast to talk about some of the work they undertake, including a few recent examples.

For more about ASIC's market integrity work, you can subscribe to our Market Integrity Update.

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Mar 20

ASIC's Louise Macaulay (Senior Executive Leader - Financial Advisers) joins the podcast to discuss ASIC's recent review of how large institutions oversee their financial advisers.

The full report is available here.

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Mar 13

Miles Larbey, ASIC's Senior Executive Leader, Financial Capability joins the podcast to talk about ASIC's new First Business App, which is aimed at assisting Australians in starting their own business.

You can find out more information about the app at ASIC's MoneySmart website.

Download the app via the Apple Store

Download the app via Google Play

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Feb 15

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 future potential to promote good risk management and compliance outcomes, and drivers and barriers to RegTech in Australia, including what the industry and ASIC can do to help promote the development and application of RegTech.

Mark Adams, ASIC Innovation Hub co-ordinator, joins the podcast to talk about the roundtable, why ASIC held it, what topics came up and where we go from here.

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Dec 16

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) of the Corporations Act 2001, and has ordered Hochtief AG to pay a financial penalty of $400,000, as well as ASIC's legal costs.

ASIC Commissioner Cathie Armour joins the podcast to discuss the details of the case, as well as its wider significance for Australia's financial markets.

You can read ASIC's media release on the matter here

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Dec 13

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.

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Nov 24

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 Excellence Awards in Melbourne.

The awards are part of the Australian Charities' Fund One Million Donors campaign, and recognise employers and their staff who show leadership in supporting charities and community groups.

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Nov 02

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 address financial institutions' and advisers' systemic failures, over a number of years, to provide ongoing advice services to customers who paid fees to receive those services. The report summarises ASIC's work to ensure customers are fairly compensated. The report is part of ASIC's Wealth Management Project, which is focusing on the conduct of the largest financial advice firms, including the advice arms of AMP, ANZ, CBA, NAB and Westpac groups.

 

The report is available for download here, while you can read ASIC's media release on the topic here.

 

ASIC's MoneySmart website has updated information on how much financial advice costs and what to expect from a financial adviser. 
 
Read the transcript
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