Keeping on top of the latest financial services regulatory & compliance trends?

Investing time in your professional development within a rapidly changing financial services industry is challenging. To meet that challenge, the Australian regulators weekly wrap is designed to keep you at forefront of your practice by quickly setting out the top 5 developments from the past week, analysis and practical considerations for the future.

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Thought for the future: two regulatory design trends have dominated since the GFC — personal liability, and principles-based regulatory design. Both are well encapsulated in the Financial Accountability Regime, but you can also see the approach more broadly — like this past week when ASIC emphasized the focus on the prosecution of a responsible manager. Despite not having a framework of personal liability, this was a pretty clear message to the industry…

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