Mintegrity

MIntegrity is an independent regulatory expert. We work with financial services participants to raise integrity standards across the industry. With an end-to-end service covering due diligence, conduct risk, surveillance, governance and accountability, we strive to help participants meet their regulatory obligations.
Social Link - Linkedin: http://www. linkedin.com/company /mintegrity
Social Link - Youtube: https://www. youtube.com/channel /UCjb63ppRlWVQNhhxK872OZw
Employee Count: 10
Keywords: policies & procedures

MIntegrity offers a unique blend of senior experience in markets (including regulation, operations, trading and market infrastructure) with the aim of assisting market participants, market operators and regulators with all aspects of financial markets regulation in Australia and the Asia Pacific region, including coverage of:

* Independent Compliance Expert services related to Enforceable Undertakings administered by financial regulators;
* Assurance and conduct reviews /reporting in relation to internal or regulatory inquiries;
- Exchange Operating Rules, ASIC Market Integrity Rules (MIRs) and the Corporations Act;
- all securities classes including cash equities, futures /options, OTC products, FX and benchmarks;
- all markets misconduct areas including insider trading, manipulation, MIR breaches, confidential information and continuous disclosure;
- surveillance technology assessments and ongoing implementation, including alerts and report generation;
- full development of compliance processes, procedures, and reviews relevant to the participant;
- short term key person compliance coverage (e. g. Head of Compliance annual leave); and
- content specific markets regulation eLearning and face-to-face courses relevant for further professional education.

Why Choose Us?

* Unrivalled breadth and depth of knowledge in markets regulation, supervision and infrastructure;
* End-to-end market oversight coverage, from surveillance to enforcement to governance and learning;
* Focus your business on markets innovation, not markets compliance;
* Incredible service package value versus equivalent FTE costs;
* Specialist e-learning modules not offered elsewhere, with MCLE & CPD points attached.

MIntegrity Directors, Andrew Tait and Amanda Mark, both held senior positions at ASIC for over 4 years (2009 – 2013). Amanda in the Market & Participant Supervision team looking at compliance and surveillance. Andrew in the Enforcement – Market Integrity team covering enforcement of the MIRs, including briefs to the Markets Disciplinary Panel.

Both were directly involved in the establishment of the teams to develop, monitor, ensure compliance with and enforce the MIRs for the supervision transfer and also for the launch of competition in exchange markets, Chi-X go live in October 2011.