Compliance Insights

17 December 2008

Welcome to the December edition of Compliance Insights, in which we'll look at:

  • a fresh approach which stresses the interrelationship between governance, risk and compliance and integrates them
  • how the rate of ASIC enforceable undertakings can reveal gaps in compliance systems in the financial services industry; and
  • the latest in anti-money laundering compliance obligations.

Because we'd like Compliance Insights to meet your needs, we welcome any feedback you have, particularly on the format or any subjects that should be covered in future editions. If you have any suggestions or feedback, please contact Randal Dennings or Graeme Howatson.

What is GRC?

By Randal Dennings and William Yao.

A new approach to integrating governance, risk and compliance is paying off for those companies that have implemented it, as Randal Dennings and William Yao explain.

Enforceable undertakings in the financial services industry

By Wei-Loong Chen and Graeme Howatson.

A new review of enforceable undertakings given by financial service providers to ASIC reveals some of the industry's more prevalent compliance problems, say Wei-Loong Chen and Graeme Howatson.

AML - A compliance update

By Graeme Howatson.

The remaining provisions of the the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 are now in force, and as Graeme Howatson warns, it's time to review your AML compliance obligations.
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