Risk and Regulatory Review: October - December 2013
The regulatory roadmap
In this issue of Risk and Regulatory Review the topics under discussion show that regulatory change, both at a global and domestic level continues, and is set to continue well into the future.
We provide a regulatory roadmap that covers the following topics:
A. Global developments resulting in domestic regulation
- OTC derivatives market reform and its impact on investment managers and institutional investors
- The countdown to 1 July 2014 for FATCA compliance.
B. Australian specific regulatory developments
- What next for Advice?
- Riding the waves of super regulatory changes - the impact on fund managers
- AML/CTF impacts of SuperStream measures
C. Risk management
- Harmonising cross-industry risk management requirements
D. Regulatory action
- Regulator themes around advertising practices
- Managing client money risk
- ASIC Update
- APRA Update