The Norway Financial Supervisory Authority (Finanstilsynet) has published a warning about Neowintech, apparently relaying an alert issued by Portugal's securities regulator, the CMVM. Compliance teams should treat Neowintech as a potentially unauthorized or fraudulent investment entity and screen for any exposure. The source material is very limited, so details need to be verified directly.
The SEC has proposed rescinding Exchange Act Rule 14a-8, which would end the federal framework governing shareholder proposals and defer to State law and company governing documents. It would also amend Rule 14a-4 to broaden the circumstances in which companies may use discretionary voting authority on proposals not included in their proxy materials. Compliance and corporate governance teams should assess the potential effect on shareholder engagement, proxy processes, and legal risk.
ASIC's Form 379 (version dated 3 March 2023) lets eligible individuals suppress their usual residential address on the public register by substituting an alternative address. Compliance teams must track strict change-notification deadlines and use the correct lodgement channel, because a misfiled change can expose a protected address publicly. Note that the item is labeled a press release but is a prescribed form with its guide, not a new rule or policy change.
BaFin's Executive Director of Banking Supervision said that simpler, more proportionate regulation for small, non-complex institutions depends on demonstrably sound risk management and governance. The speech reviews relief measures already delivered, including a 30 percent leaner MaRisk, a streamlined LSI stress test, and KWG threshold changes. It also signals that BaFin will not answer many MaRisk interpretation questions and expects institutions to exercise their own judgment.
ASIC has published Form 5131, which a member of a registered managed investment scheme uses to apply for the appointment of a scheme auditor under section 331AAC(1) of the Corporations Act 2001. The document is an administrative form, not a new rule. Compliance teams at responsible entities should still understand the process, because it affects audit governance and the accuracy of information lodged with ASIC.
Japan's Financial Services Agency (FSA) published the agenda and materials for the first meeting of its Working Group on the ideal way to provide funding to growing companies. The document is procedural and imposes no new obligations. It does signal early policy thinking on growth-company financing, including the role of banks, which compliance teams should monitor. Note a date discrepancy: the metadata lists 2026-09-16, while the content states the meeting was held September 16, 2020.
ASIC has published Form 5114, which responsible entities of registered schemes use to notify ASIC of a change in compliance plan auditor under s601HI of the Corporations Act 2001. The notice must be lodged as soon as practicable after the change, and it follows a prior ASIC consent process (Forms 5112 and 5113) in cases of resignation or removal. Compliance teams should confirm that auditor transition procedures cover consent, disclosure, and lodgement steps.
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