GRC Report Staff

ASIC's Form 506 (version dated 27 January 2021) requires liquidators, receivers, and controllers to notify ASIC of an address change within 14 days. Late lodgement triggers fees. Administrators, deed administrators, scheme administrators, and restructuring practitioners have no lodgement requirement. Insolvency practitioners and the firms that engage them should confirm their internal processes meet this deadline.

BaFin has warned that unknown callers are spoofing its telephone number to pressure consumers into transferring money. BaFin states it never contacts private individuals unsolicited by phone to request or demand transfers, and it does not use third parties to do so. Compliance teams should treat this as an impersonation-fraud and consumer-protection signal that calls for customer communication and updates to fraud controls.

The Norway Financial Supervisory Authority has listed Seven Apex Capital in a warning that appears to originate from Portugal's securities regulator, the CMVM. Compliance teams should treat the entity as a potential unauthorized or fraudulent investment solicitor and screen for any exposure. The source record is sparse, so the details need independent verification.

A Deutsche Bundesbank discussion paper (No. 27/2026) finds that optimal monetary policy should still look through sectoral shocks, such as energy price spikes, even if inflation expectations may de-anchor. However, the nominal interest rate response needed to achieve the same output and inflation outcomes is more aggressive. The paper creates no compliance obligations, but it is relevant to institutions' interest rate risk, stress testing, and scenario planning.

The Ontario Securities Commission released its Investment Management Division Annual Summary Report for fiscal 2025-2026, outlining regulatory trends and policy priorities for fund managers and advisers. Key themes include ETF market growth, a proposed streamlined Fund Report, liquidity risk management, and an expanded Investment Fund Survey. Compliance teams should treat the report as a signal of upcoming supervisory focus and policy direction.

On September 15, 2026, BaFin published Circular 12/2026, which sets out the licensing procedure for alternative investment fund (AIF) management companies under Section 22 of the German Investment Code (KAGB). It replaces the 2013 information sheet and aims to give applicants clearer documentation requirements and faster processing. Compliance teams at prospective and existing AIF managers should review the new expectations, especially given the changes that stem from the Fund Risk Limitation Act.

ASIC Form 522 is the notification a liquidator must lodge under section 496(7) of the Corporations Act 2001 after a creditors' meeting held to consider replacing the existing liquidator. It records the meeting date, whether a new liquidator was appointed, and the statement of assets and liabilities presented to creditors. Compliance and insolvency-related teams should confirm that their lodgement processes are accurate and signed correctly, because errors can create regulatory and reputational exposure. Note that this is a form (version dated 16 February 2015) and not a new rule, despite the 2026-09-15 date and "Press Release" label in the metadata.