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ASIC’S REGTECH LIAISON FORUM Monday 05 March 201 8 – 2pm

Join ASIC's Regtech Liaison Forum for updates on global regtech landscape, NLP trials, stakeholder engagement, and collaboration. Learn about ASIC's Proof of Concept project and discuss upcoming trials aiming to improve supervision efficiencies.

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ASIC’S REGTECH LIAISON FORUM Monday 05 March 201 8 – 2pm

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  1. ASIC’S REGTECH LIAISON FORUM Monday 05 March 2018 – 2pm ASIC OffICES Melbourne | Sydney | Canberra | Adelaide | Brisbane

  2. Today… • Opening comments from ASIC and summary of last meeting • Industry item – global landscape for regtech • Regulator item – updated from APRA and AUSTRAC • ASIC Proof of Concept project • Discussion

  3. ASIC’s Regtech Liaison Forum - objectives • Facilitate stakeholder engagement and networking • Stimulate regtech collaboration • Share agenda with stakeholders • Share information

  4. ASIC Natural Language Processing Trials • ASIC plans to undertake a range of NLP trials • EOI is available on the Government tender platform • The tender will be closed at 9:00 am, 19 March 2018 • Trials are to explore potential efficiencies in supervision including through automation and prediction • Trials of this nature present a genuine learning opportunity for ASIC

  5. Topics • Identification of promotions of concern for financial and credit services • Phone sales practices of insurance • Managed fund PDSs review • Financial advice file review • Financial reporting review of company announcements • Prospectus review

  6. Further information

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