Regulatory Update
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.
In this blog, Dave Ackerman explores how the path to using artificial intelligence in markets surveillance will impact compliance and the new skills compliance officers will need to cultivate.