ASIC's Form 105 is a cover page that must accompany each office copy of a court order lodged under the Corporations Act 2001. It is a procedural form and does not introduce new obligations, but errors in completing or lodging it can mean a filing is not treated as lodged and may incur late fees. Compliance and legal teams should confirm their lodgement processes match the form's requirements.
ASIC Form 5299 is the notification a corporate collective investment vehicle (CCIV) must lodge when it files half-yearly financial reports as a disclosing entity. Lodgement is due within 75 days after the end of the accounting period, and late lodgement triggers fees. Compliance teams should confirm that sub-fund reporting, director sign-off, and lodgement calendars are in place. Note that the form version is dated 1 December 2023, while the update is listed as 2026-09-16, so this appears to be a republication of an existing form rather than a new requirement.
The Norway Financial Supervisory Authority has listed a warning about AVCS Systemgroup Securities Pty Ltd, which the Dutch Authority for the Financial Markets (AFM) classified under its "boiler room" warnings. Compliance teams should treat the entity as a potential investment fraud risk and screen for any direct or indirect exposure.
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.
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