Compliance & Ethics

ASIC Form 906 is the mandatory notification a person must lodge after becoming disqualified from managing corporations under Part 2D.6 of the Corporations Act 2001. The lodgement window is only 3 days, and late fees apply. Compliance teams should treat this as an event-driven obligation tied to fit-and-proper screening, director and officer oversight, and personnel governance. Note that the document is a form and guide, not a new rule, and the 4 February 2022 form version predates the 2026-09-16 date given in the update metadata.

The Bank of England's monetary policy page shows Bank Rate at 3.75% and inflation at 3.1%, above the 2% target, with the next MPC decision due 17 September 2026. This is explanatory guidance, not a new regulatory requirement. However, it sets out the decision process and timing that institutions rely on for interest rate risk, liquidity, and pricing governance.

The Chancellor and His Majesty the King have appointed David Craig, Paul Nowak, and Hanneke Smits as non-executive directors of the Bank of England's Court of Directors. Lord Jitesh Gadhia and Tom Shropshire have been reappointed. The update involves no new regulatory obligations. It matters to compliance teams as a signal of governance priorities and leadership at the UK's central bank and prudential authority.

The document is ASIC Form 991/992 (version dated 13 May 2015), which companies use under Section 1301 of the Corporations Act 2001 to notify ASIC where books and records kept otherwise than in writing are stored on computer and where they may be inspected. It is a standing administrative form, not a new rule, so no new obligations appear to be introduced. It still matters because inaccurate or outdated location notices can create record-keeping and inspection-access exposure.

The Deutsche Bundesbank, acting for the German federal government, will tap the 2.90% Federal Bond Series 194 (2031) by a target of EUR $5 Billion, including the market maintenance quota, on September 22, 2026. The current outstanding volume is EUR $17.5 Billion. This is a routine issuance event, but it carries operational, liquidity, and reporting implications for institutions that bid or hold German sovereign paper.

The Securities and Exchange Commission brought 348 enforcement actions during fiscal year 2026, obtained orders for nearly $1.1 billion in monetary relief, and charged individuals in two-thirds of its standalone cases. The figures, released Tuesday, describe an enforcement program that spent much of the year pursuing familiar forms of misconduct while making substantial changes to the way it investigates them.

Switzerland's financial regulator has narrowed the application of a provision governing correspondent banking relationships with foreign banks, one of several clarifications included in anti-money laundering rules finalized Tuesday ahead of their implementation next year.