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Risk and Compliance

Design and Distribution Obligations – designing effective Target Market Determinations

There are five key issues facing financial institutions in meeting their DDO obligations. Here is insight into the important issue of building out effective Target ...

5 issues to consider in relation to the new Financial Services Design and Distribution Obligations

With new Financial Services Design and Distribution Obligations due 5th of October 2021 there are 5 important issues to consider in preparation.

Are lenders prepared for the complex dynamics now in home lending?

Are banks ready for what's coming? There are economic priorities that will compete for the attention that dealing with foreclosure requires... a matter that is more ...

Financial crime needs a transformation – why and how?

Technology is the source of increased financial crime. What is the need behind financial crime transformation and what is the starting off point for organisations?

Design and Distribution Obligations – whose job is it?

A brief on the upcoming Design and Distributions Obligations for Financial Services and discussion of the important first step; whose job it is and implications to ...

Controls – the heart of managing risk

Controls are at the heart of managing risk. But what is a control, what are the benefits and how do I know if I am prepared and in control of my risk profile?

Build once and build well – meeting new PDD obligations in a structured and considered way

At a time when the Australian financial services sector is under scrutiny from all sides, there is an important change to financial service product providers. These ...

To make better decisions you need 6 things

The real game is making decisions. Now. Without perfect information. In the middle of a VUCA (Volatile, Uncertain, Complex and Ambiguous) world. To make quality ...

AMLCO Committee Membership Discussion

What committees or forums should the AMLCO be a standing or optional member of to best meet the requirements of the role? This insight is a condensed discussion ...

A proven and pragmatic approach to better decision making in turbulent times

Our proven and pragmatic approach to better decision making in turbulent times. When developed the Business Risk Scenario Model (BRSM) results in a one-page summary ...

ASIC to enforce customer focus of new product design and distribution obligations: are you ready?

A Draft Regulatory Guide was issued by ASIC in December – Consultation Paper (CP 325) - Product design and distribution obligations. This CP arguably may change the ...

Practical advice for boards to deliver effective oversight of non-financial risk

Whilst ASIC found that the boards seem keenly aware of and actively engaged in their oversight of ‘financial risks’ – revenue or cost management - they also found ...