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ASIC’S REGTECH LIAISON FORUM Monday 05 March 201 8 – 2pm

ASIC’S REGTECH LIAISON FORUM Monday 05 March 201 8 – 2pm. ASIC OffICES Melbourne | Sydney | Canberra | Adelaide | Brisbane. Today…. Opening comments from ASIC and summary of last meeting Industry item – global landscape for regtech Regulator item – updated from APRA and AUSTRAC

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ASIC’S REGTECH LIAISON FORUM Monday 05 March 201 8 – 2pm

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  1. ASIC’S REGTECH LIAISON FORUM Monday 05 March 2018 – 2pm ASIC OffICES Melbourne | Sydney | Canberra | Adelaide | Brisbane

  2. Today… • Opening comments from ASIC and summary of last meeting • Industry item – global landscape for regtech • Regulator item – updated from APRA and AUSTRAC • ASIC Proof of Concept project • Discussion

  3. ASIC’s Regtech Liaison Forum - objectives • Facilitate stakeholder engagement and networking • Stimulate regtech collaboration • Share agenda with stakeholders • Share information

  4. ASIC Natural Language Processing Trials • ASIC plans to undertake a range of NLP trials • EOI is available on the Government tender platform • The tender will be closed at 9:00 am, 19 March 2018 • Trials are to explore potential efficiencies in supervision including through automation and prediction • Trials of this nature present a genuine learning opportunity for ASIC

  5. Topics • Identification of promotions of concern for financial and credit services • Phone sales practices of insurance • Managed fund PDSs review • Financial advice file review • Financial reporting review of company announcements • Prospectus review

  6. Further information

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