Regulatory Update
2021 was a wild ride in the world of financial compliance, and 2022 appears to have even more twists and turns in store. In this blog, three compliance experts weigh in on the biggest trends.
When the pandemic hit, we certainly sensed there would be a strong impact on our social lives. But what was not immediately apparent was the extent that Wall Street and its regulated financial services employees would be affected.
...and regulators will take action against banks which don’t walk the talk. ASIC raised levels of conduct, culture and accountability within financial services businesses, hoping it will make Australian financial markets more transparent and efficient.
In this blog, Paul Cottee explains why the importance of monitoring and surveillance is as great as – if not greater – than ever.