Search Results | Showing 21 - 30 of 66 results for "Cathie Armour" |
| | ... received was held in segregated client money trust accounts. This breach cost the company $25,000. ASIC commissioner Cathie Armour said protecting client funds is critical to investor confidence and market integrity. "The law is very clear about the ... |
| | | ... orderly transition of billions of dollars' worth of financial contracts in the derivatives market," ASIC commissioner Cathie Armour said. "Industry wide adoption will significantly reduce the risks of contractual disputes, litigation and frustration ... |
| | | ... resilient, reliable and scalable to meet existing and future needs of the market and participants," ASIC commissioner Cathie Armour said. ASIC and the RBA, as well as the broader Council of Financial Regulators and the ACCC, were closely supervising ... |
| | | ... managing conflicts of interest and insuring information provided to investors is not misleading. ASIC commissioner Cathie Armour recommended that "all licensees should review ASIC's findings and consider whether their controls for the allocation process ... |
| | | ... arrangements requested by public companies and pre-prospectus communications to stakeholders. ASIC commissioner Cathie Armour said: "Given the significant costs involved in undertaking an IPO, our new legislative relief will help reduce the regulatory ... |
| | | ... understand that the legislative requirements are important and must be adhered to," she said. ASIC Commissioner Cathie Armour welcomed the decision and said the outcome demonstrates how serious client money breaches are. "Client money obligations protect ... |
| | | ... entities to ensure compliance with their reporting and monitoring obligations under the ASIC Rules," ASIC commissioner Cathie Armour said. Compliance with the infringement notices is not an admission of guilt or liability, ASIC said. On the same day ... |
| | | ... similar regulatory supervision and outcomes will be achieved by equivalent overseas requirements. ASIC commissioner Cathie Armour said the regulator's new framework was designed to ensure wholesale investors could continue to access the opportunities ... |
| | | ... corporate regulator banned Kawecki from providing financial services for seven years in 2018, and ASIC commissioner Cathie Armour noted Kawecki's attempts to maneuver around the ASX's minimum spread requirements impacted market integrity. "ASIC considers ... |
| | | ... suspicious trading accounts remained stable, the volume traded by the same accounts increased. ASIC commissioner Cathie Armour said: "Markets cannot operate with a high degree of integrity if people trade with inside information." "We expect all parties ... |
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