Participate in the Thomson Reuters Regulatory Intelligence 12th annual survey on the cost of compliance for regulated firms in the financial services industry.

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The Australian Securities and Investments Commission has launched an internal investigation into whether it needed to do more to stop the marketing of Sterling First (Aust) Ltd and associated companies (Sterling First) to vulnerable elderly investors.

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The public and private sectors must work together more closely to restore trust and stability across international institutions and to enable them to respond more quickly to major risk events, a leading compliance expert has said.

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Ahead of the Governance Institute’s Leadership Trust Foresight conference on 7-8 December 2020, Dr Klaus Moosmayer, Member Executive Committee & Chief Ethics, Risk and Compliance Officer, Novartis AG (Switzerland) speaks with Virginia Ginnane, Marketing Content Specialist, Thomson Reuters about steering an ethical business in this challenging time.

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Pawnbrokers, payday lenders and other non-bank reporting entities have been urged to review their financial crime controls, as the Australian Transaction Reports and Analysis Centre (AUSTRAC) broadens its supervision and enforcement crackdown.

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In this article former U.S. undercover agent, Robert Mazur confesses that he, his fellow law enforcement agents on the front lines, the U.S. public and the world’s communities have been deceived. A small band of the politically powerful have, time and time again, undermined the integrity of “the war on drugs”. It’s not a war; it’s a lie, he writes.

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New Zealand’s central bank is well advanced in its first major investigations into anti-money laundering and counter financing of terrorism (AML/CFT) compliance failures, as it ramps up its financial crime compliance enforcement presence.

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When the ATO’s Top 1,000 Tax Performance Program (under which Streamlined Assurance Reviews (SARs) are conducted) comes to an end in December, the Top 1,000 Combined Assurance Review (CAR program) will begin – combining both income tax and GST reviews for the Top 1,000 taxpayers.

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