GRC Report Staff

ASIC Form 509F is the notice an administrator must lodge under section 450C(a) of the Corporations Act 2001 when a company fails to execute a deed of company arrangement (DOCA) within the period required by paragraph 444B(2)(a) or 444B(2)(b). This is a procedural form, not a new rule, and the version provided is dated 13 February 2015, although the update is listed as 2026-09-15. Compliance teams that deal with distressed counterparties or insolvency processes should understand the trigger, the signatory requirement, and the signal this notice sends about the status of a company in voluntary administration.

Following an April 2026 inspection, the Danish FSA issued orders to the Danish Private Railways Insurance Association G/S covering the audit committee, conflicts of interest, key functions, technical provisions, and capital planning. The findings show that supervisors are testing whether Solvency II governance structures work in practice, not just whether they exist. Compliance teams at insurers, especially small mutual and captive-style entities, should treat the report as a benchmark for self-assessment.

On September 15, 2026, Finansinspektionen (FI) adopted amendments to three regulations in the securities area to reflect the amended MiFID II delegated directive adopted in connection with the EU Listing Act. The changes take effect October 1, 2026, which leaves a short implementation window for investment firms, fund managers, and AIFMs operating in Sweden.On September 15, 2026, Finansinspektionen (FI) adopted amendments to three regulations in the securities area to reflect the amended MiFID II delegated directive adopted in connection with the EU Listing Act. The changes take effect October 1, 2026, which leaves a short implementation window for investment firms, fund managers, and AIFMs operating in Sweden.

On September 15, 2026, Finansinspektionen (FI) adopted amendments to three regulations in the securities area to reflect the amended MiFID II delegated directive adopted in connection with the EU Listing Act. The changes take effect October 1, 2026, which leaves a short implementation window for investment firms, fund managers, and AIFMs operating in Sweden.

ASIC has remade three legislative instruments and extended a fourth for five years, preserving existing relief for exchange-traded derivatives disclosure, trans-Tasman securities settlement, foreign securities transfers, and securities lending. The relief itself is unchanged, but the instruments have new numbers and some wording and reference updates. Compliance teams should confirm that policies and legal references cite the correct instruments.

ASIC Gazette A37/26 (September 15, 2026) is a routine notice that proposes deregistering one managed investment scheme, proposes striking off five foreign companies, confirms the strike-off of three others, and announces five company type conversions. Compliance teams with exposure to any named entity should verify counterparty records and update registers before the effective dates.

The Norway Financial Supervisory Authority (Finanstilsynet) has published a warning about aureoncorevix-fr.com, a website originally flagged by France's Autorité des Marchés Financiers (AMF) on its crypto-currency blacklist. Compliance teams should treat the domain as a high-risk, likely fraudulent crypto platform and update screening controls and customer-protection measures accordingly.