03

John Smith

Lawyer

Working as a lawyer involves the practical application of abstract legal theories and knowledge to solve specific problems.

03

George Blanc

Attorney

Working as a lawyer involves the practical application of abstract legal theories and knowledge to solve specific problems.

02

Susan Olsen

Counselor

Working as a lawyer involves the practical application of abstract legal theories and knowledge to solve specific problems.

02

James Dean

Solicitor

Working as a lawyer involves the practical application of abstract legal theories and knowledge to solve specific problems.

The European Supervisory Authorities (EBA, EIOPA and ESMA – the ESAs) today announced that they will launch in May the voluntary exercise for the collection of the registers of information of contractual arrangements on the use of ICT third-party service providers by the financial entities. Under the Digital Operation Resilience Act (DORA) and starting from…

Link Fund Solutions (LFS) failed to act with due skill, care and diligence in its management of the Woodford Equity Income Fund (WEIF), according to findings published by the FCA. The FCA found that between 31 July 2018 and the fund’s suspension on 3 June 2019, LFS failed to manage the liquidity of the fund…

Check against delivery Good afternoon everyone. It’s great to be here today – thank you to ARITA for inviting ASIC to be a part of your national conference. I would like to begin by acknowledging the traditional owners and custodians of the land on which we meet today, the Yugambeh people. I pay my respects…

ASIC has today released a consultation paper on proposed updates to its regulatory guidance for external administrators and controllers when reporting and lodging statutory reports about alleged misconduct. The proposed updates provide greater clarity on ASIC’s expectations of external administrators and controllers’ compliance with the reporting obligations and ASIC’s approach to the reports it receives….

ESAs to run voluntary dry run exercise to prepare industry for the next stage of DORA implementation

The European Supervisory Authorities (EBA, EIOPA and ESMA – the ESAs) today announced that they will launch in May the voluntary exercise for the collection of the registers of information of contractual arrangements on the use of ICT third-party service providers by the financial entities. Under the Digital Operation Resilience Act (DORA) and starting from…

079April 11, 2024April 11, 2024

FCA sets out findings against Link Fund Solutions

Link Fund Solutions (LFS) failed to act with due skill, care and diligence in its management of the Woodford Equity Income Fund (WEIF), according to findings published by the FCA. The FCA found that between 31 July 2018 and the fund’s suspension on 3 June 2019, LFS failed to manage the liquidity of the fund…

081April 11, 2024April 11, 2024
In News

Improving regulatory guidance for registered liquidators

Check against delivery Good afternoon everyone. It’s great to be here today – thank you to ARITA for inviting ASIC to be a part of your national conference. I would like to begin by acknowledging the traditional owners and custodians of the land on which we meet today, the Yugambeh people. I pay my respects…

088April 11, 2024April 11, 2024

ASIC consults on misconduct reporting guidance for external administrators and controllers

ASIC has today released a consultation paper on proposed updates to its regulatory guidance for external administrators and controllers when reporting and lodging statutory reports about alleged misconduct. The proposed updates provide greater clarity on ASIC’s expectations of external administrators and controllers’ compliance with the reporting obligations and ASIC’s approach to the reports it receives….

00April 11, 2024April 11, 2024