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责任心和资源是监管的基础       
2019-02-28

公共会计师协会(IPA)指出,关于海恩皇家委员会的提议,即设立一个新型独立的 "超级监管机构"来监督澳大利亚证券投资委员会(ASIC)和 澳大利亚审慎监管局(APRA),从而推动这两个监管机构问责制的实施,这将会是一个好办法,但仍待解决一些基本问题。
IPA全球执行总裁Andrew Conway表示: “IPA长期以来一直主张为监管机构提供适当的资金和资源,使其正常运行。”
"虽然从表面上看,设立一个监管机构来监督现有的监管部门可能会显得管理过度,但如果它达到了预期的问责结果,则该提议也有好处。”
“人们可能会质疑,如果监管部门出问题了,为什么不直接解决问题而要去花钱资助设立另外的监管机构呢?”
“无论如何,我们不希望看到进一步的监管负担落到小企业运营商的肩上。”
IPA的小企业白皮书指出,审视监管机构文化,调整监管行为,使中小企业避免承担不必要的压力。
“研究表明,越来越多的小企业在持续关注法律法规对其经营企业和创新能力的影响。”
“我们也不希望看到因ASIC所背负的额外压力而迫使其将目标锁定在中小企业身上,事实上很多大型企业的情况更为复杂,存在着更大的问题。”
“皇家委员会的调查结果显示,在许多过往案例中,都应该采取起诉等一系列措施去帮助那些因银行、抵押经纪和保险业的无良行为所导致利益受损的企业。”
Andrew Conway表示: “直至最近,政府仍在纸上谈兵,没有给予ASIC实际的资源和资金援助, ASIC应该得到更多机会来展示其监管能力。”

REGULATION MUST COME WITH ACCOUNTABILITY AND RESOURCES
The Hayne Royal Commission’s recommendation to create a new independent ‘super regulatory’ body to oversee ASIC and APRA to drive accountabilities of the two regulatory bodies may have some merit but some fundamentals have to be addressed, says the Institute of Public Accountants (IPA).
“The IPA has long advocated for the need to appropriately fund and resource the regulators to enable them to do their job,” said IPA chief executive officer, Andrew Conway.
“While on face value, having a regulatory body regulating the regulators may appear a regulatory overkill, if it achieves the desired accountability outcomes, it may have merit.
“One may question if something is broken, why not fix it before funding yet another layer of regulation.
“Regardless, what we do not want to see, is further regulatory burden being filtered down on the shoulders of small business operators.
“Our Small Business White Paper points to the need to look at regulator culture and adjust behaviors that do not inflict unnecessary burden on SMEs.
“In particular, research shows that an increasing number of small businesses continue to be concerned with the impact of laws and regulations on their ability to run their businesses and innovate.
“We also do not want to see the targeting of small targets due to additional pressure placed on ASIC to enforce, while there are more complex and yet, bigger fish to fry.
“The Royal Commission findings point to many cases where prosecution should have applied and all must be done to support those that have been aggrieved through the unscrupulous behavior of the banking, mortgage brokerage and insurance industries.
“Up until recent times, ASIC have had the regulatory teeth on paper but not the resources and funding to actually bite so they should be given the good grace to prove themselves,” said Mr Conway.

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