| Regulatory Compliance |
Regulatory ComplianceRegulatory COMPLIANCEThe Regulatory Compliance Working Group monitors, analyses, discusses and looks to play a part in shaping and influencing financial regulatory matters on behalf of the custodial services industry. The Working Group primarily interacts with regulators such as ASIC, APRA, Treasury and also from time to time the group may interact with other Government agencies such as AUSTRAC and the Takeovers Panel. We look to foster positive working relationships with the Regulators and have open dialogue on items such as implementation challenges of changes that may impact our members and our clients. In many instances, regulatory development and reform involves industry consultation and this is an opportunity to contribute to shaping and influencing such developments. This may involve written submissions or face-to-face dialogue to discuss our position or seek clarity on matters. The Working Group is comprised of representatives from various banks and financial institutions within the custody services industry and has a diverse range of knowledge, experience and skillsets including accounting, regulatory reporting, legal and product management. The Regulatory Working Group is responsible for:
How do we do this?
Sub GroupsCPS 230 Operational RiskThe CPS 230 Operational Risk Working Group (“WG”) was established to understand the key concepts and understanding of the APRA’s new regulatory prudential standard on behalf of the custodial services industry. READ MOREExecutive SponsorElaine Vaisenen - J.P. Morgan ChairRosa Poole - J.P. Morgan Clare Belsten - State Street
“Being part of the Regulatory Working Group allows me to build my networks across the industry and also allows me to have input and influence matters that impact my role and my employer.”
Trent Richardson
Northern Trust Working Group Submissions1 December 2022Australian Custodial Services Association response on - Superannuation Data Transformation Project Minor Amendments Learn More21 October 2022Australian Custodial Services Association response on APRA Prudential Standard CPS 230 Operational Risk Management Learn More24 February 2022ACSA Practice Guide on the Implementation of Portfolio Holdings Disclosure (“PHD”) Reporting Learn More20 October 2021Australian Custodial Services Association submission - SRS 921.1 COViD-19 Pandemic Data Collection Learn More31 August 2020Australian Custodial Services Association response to Consultation Paper on reforms to the Foreign Investment Review Framework Learn More31 July 2020Australian Custodial Services Association feedback on Response Statement to the Guidance Note 20 Equity Derivatives Consultation Paper Learn More17 July 2020Australian Custodial Services Association feedback on COVID-19 Pandemic Data Collection Learn More14 Feb 2020Australian Custodial Services Association response on Topic Paper 2 - Performance Learn More |
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