Risk and regulatory review


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
Risk and regulatory review, October 2013
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