AI Governance

ASIC's Form 208 requires companies to notify the regulator of shares issued for non-cash consideration, such as property, services, dividend capitalization, or reserve capitalization, when the issue is not covered by a lodged written contract. It must be lodged with a Form 484 within 28 days. Compliance teams should confirm that corporate secretarial processes capture these issues and meet the deadline to avoid late lodgment fees.

On September 16, 2026, the Austrian Financial Market Authority (FMA) publicly named TiH GmbH and announced a sanction for managing an alternative investment fund (AIF) without authorization under the Alternative Investment Fund Manager Act (AIFMG). The action shows the FMA's willingness to enforce the AIFMG perimeter and use public naming. Compliance teams should treat it as a reminder to verify the licensing status of fund managers and counterparties.

ASIC Form 5232 (version dated July 1, 2022) is the required application for consent to remove or resign an auditor of a retail corporate collective investment vehicle (CCIV). The form requires detailed declarations from both the corporate director and the auditor, and the change takes effect only after ASIC consents and the required disclosures are made. Compliance teams at CCIV operators and audit firms should build the process into governance procedures to avoid invalid auditor changes and false-declaration exposure.

ASIC has issued an updated Form 313 (dated 23 July 2026) that extends the notification of the Australian address for records kept outside Australia to sustainability records, alongside financial records. Compliance teams at entities that keep records offshore must confirm they use the new form and meet the distinct lodgement deadlines for each record type. Late lodgement triggers late fees.

In a speech at TradeTech FX, DNB's Bas ter Weel argued that tokenized financial markets, including FX, must be anchored in central bank money to preserve stability and trust. He highlighted the Eurosystem's Pontes wholesale CBDC bridge, MiCAR safeguards for stablecoins, and interoperability as priorities. Compliance teams should treat this as a signal of supervisory expectations for DLT settlement, stablecoin exposure, and tokenized deposit initiatives.

The European Central Bank has published the September 2026 membership list of the Digital Euro Rulebook Development Group (RDG). The group includes market representatives from banks, payment institutions, third-party providers, consumers, merchants, and SMEs, along with Eurosystem central banks and observers from EU institutions. Compliance teams should treat this as a signal of who is shaping the digital euro's scheme-level rules and where to direct engagement and monitoring efforts.

EIOPA's article, published in connection with Eurofi, argues that the Insurance Distribution Directive (IDD) is broadly technology-neutral but must be applied consistently as AI chatbots, digital platforms, and agentic AI blur the lines between insurance, investment, and crypto-asset distribution. Supervisory focus is expected to move from individual products and firms to the governance of the entire digital customer journey. Compliance teams should assess now whether their AI-enabled tools could be treated as insurance distribution.