Скачать или смотреть ASIC Regtech Licensing Technology Assisted Guidance (TAG) Tool

A proof-of-concept licensing TAG tool was presented at ASIC's 8th Quarterly Regtech Liaison Forum in November 2019.

• Introduction and Acknowledgement of Country by Mark Adams, Senior Executive Leader, Strategic Intelligence and Co-ordinator, Innovation Hub, ASIC (00:16)
• Opening statement by John Price, Commissioner, ASIC (00:52)
• Licensing problem statement by Warren Day, Executive Director, Assessment and Intelligence and Regional Commissioner, Victoria, ASIC (08:22)
• TAG tool demonstration by Andrea Beatty, Partner, Piper Alderman (15:50)
• TAG tool overview by Tomer Garzberg, Chief Executive Officer, Gronade, (26:58)
• Licensing observations by Peng Lee, Senior Executive Leader, Licensing, ASIC (32:33)
• Q&A (37:43)


In April 2019, ASIC approached the market seeking a technology company and legal firm to work together to develop a proof-of-concept for a licensing TAG tool.

This TAG tool project, which took the form of a chatbot, set out to deliver several outcomes:
• create a minimum viable product that delivers guidance about the regulatory framework and licensing requirements in response to user inquiries
• design a product that could incorporate regulatory and legal updates and amendments
• capture information input into the TAG tool for future NLP-based interactions
• have a user-friendly, web-based user interface allowing for cross-mobile and cross-browser compatibility.



ASIC Regtech Initiatives: 2019 Events

• ASIC's Monitoring Financial Promotions: Demonstration and Symposium -    • ASIC Regtech Monitoring Financial Promotio...  
• ASIC's Financial Advice Files: Demonstration and Symposium -    • ASIC's Regtech Financial Advice Files: Dem...  
• ASIC's Regtech Voice Analytics: Symposium -    • ASIC's Regtech Voice Analytics: Symposium  

Results and primary observations - https://asic.gov.au/regtech-2019-results
Regtech approach and next steps - https://asic.gov.au/regtech-approach


ASIC Regtech Initiatives: 2020 Events

ASIC is planning initiatives on the following topics in FY2019–20:
• Machine learning monitoring of responsible lending obligations by credit providers (public problem-solving event)
• Digital record-keeping of financial services (report)
• Digital financial reporting of public companies (public event)
• Non-financial risk tools/applications for the use by boards and executives (public problem-solving event).