Speaker: Therese Chambers, Director of Consumer Investments, FCA Event: TISA Financial Advice and Guidance Conference in London Delivered: 21 March 2023 Note: this is the speech as drafted and may differ from the delivered version Highlights The FCA wants to ensure we have a healthy and successful consumer investment sector in which firms can thrive...
Category: Speeches
Senate Economics Legislation Committee Senate Estimates – Opening Statement – 1 March 2023
I am pleased to appear before the committee today. I am joined today by Deputy Chairs Sarah Court and Karen Chester, Commissioner Danielle Press, Chief Operating Officer Warren Day, and our General Counsel, Chris Savundra. We value the opportunity to appear before this Committee. I understand that you have convened this extra hearing following the...
How to organise a COO
Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations, delivered at the Armstrong Wolfe COO Summit 2023: Non-financial Risk Emily Shepperd Speaker: Emily Shepperd, Chief Operating Officer and Executive Director of Authorisation Event: Armstrong Wolfe COO Summit 2023: Non-financial Risk Delivered: 7 February 2023 Note: This is the published version of the...
Scam alert: Scammers fraudulently stating ASIC will guarantee their bonds
Scam alert: Scammers fraudulently stating ASIC will guarantee their bonds Scammers are using ASIC’s name and logo to issue fake bond documents to investors, holding out that ASIC will ‘guarantee’ their bonds. The scammers are targeting overseas residents and are pretending to be Australian financial services (AFS) licensees. ASIC will never provide a guarantee for...
From Zeroes to Heroes: How culture in financial services can change for everyone’s benefit
Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations, delivered at City and Financial Global’s 8th Annual Culture and Conduct Forum for the Financial Services Industry. Emily Shepperd Speaker: Emily Shepperd, Chief Operating Officer and Executive Director of Authorisation Event: City and Financial Global’s 8th Annual Culture and Conduct Forum for the...
Senate Economics Legislation Committee Budget Estimates 2022-2023 – Opening statement – November 2022
Opening statement by ASIC Chair Joe Longo at the Senate Economics Legislation Committee Budget Estimates 2022-2023, 9 November 2022. Check against delivery I am pleased to appear before the Committee once more and welcome Senator Walsh as the new Committee Chair. I am joined today by Deputy Chairs Sarah Court and Karen Chester, Commissioners Sean...
Moving from fear to trust
Speaker: Jessica Rusu, Chief Data, Information, and Intelligence Officer Event: City and Financial Global summit: Regulation and risk management of Artificial Intelligence in financial services Delivered: 9 November 2022 Note: this is a drafted speech and may differ from the delivered version Highlights AI needs governance to move from fear to trust but many of...
The role of the FCA in a changing regulatory landscape
Speaker: Nikhil Rathi, Chief Executive Location: Mansion House Delivered: 27 October 2022 Note: this is the speech as drafted and may differ from the delivered version Highlights Lessons can be learned for better regulatory and risk reporting both internationally and domestically following the disruptive market events in the last year. Upfront effort from firms in...
Climate change: Urgency, integrity, ambition
Speech by ASIC Deputy Chair Karen Chester at the Carbon Market Institute’s 9th Australasian Emissions Reduction Summit, 25 October 2022. Check against delivery Thank you to the Carbon Market Institute for the opportunity to participate in this plenary session alongside my fellow regulators in David Parker from the Clean Energy Regulator (CER) and Liza Carver...
32nd Annual Credit Law Conference – Regulatory Update
Speech by ASIC Commissioner Sean Hughes to the 32nd Annual Credit Law Conference, 12 October 2022. Check against delivery Thank you for that warm introduction. It is always a pleasure being a part of the Annual Credit Law Conference, and doubly so when being able to attend in person. It is always important for a...
Civil rights law practice area legal advice is the application of abstract principles of law to the concrete facts of the client’s case.