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Broker controls

The companies, products and regulatory developments shaping the broker industry.

ASIC reviews suspense and error accounts after observing weak controls

The regulator’s October update describes an active surveillance review of intermediaries’ account governance and records. Its early observations focus on allocation, reconciliation and independent oversight.

29 Oct 2026News2 min read

Regulation & enforcement

FCA proposes AI-control testing and sanctions-screening updates in crime guide

CP26/38 sets concrete examples for model oversight, vendor settings and fraud detection; responses are due 24 December before final guidance is issued.

25 Oct 2026News2 min read