Search ResultsShowing 1 - 10 of 100+ results for "ASIC"
Former Macquarie advisers have bans reduced
JAMIE WILLIAMSON  |  TUESDAY, 12 FEB 2019
... reduced by the Administrative Appeals Tribunal. Mark Alexander Landau and Marcus Roderick Campbell were banned by ASIC's Financial Services and Credit Panel for 10 years each in August 2018. Last week the bans were slashed to 18 months by ...
Financial Standard launches FS Aspire CPD
DARREN SNYDER  |  MONDAY, 11 FEB 2019
... services professionals to be as well-equipped as possible to meet continuing professional development criteria from ASIC and FASEA," Rainmaker Group executive director of product development Andrew Keevers said. Financial Standard is the ...
Mainstream board loses former ASIC executive
JAMIE WILLIAMSON  |  MONDAY, 11 FEB 2019
A former ASIC senior executive resigned from the board of Mainstream Group. The firm has also released its half-year financial results. Financial services veteran Lucienne Layton will step down from her role as non-executive director on 15 March to ...
ASIC gears up for Brexit
KANIKA SOOD  |  MONDAY, 11 FEB 2019
ASIC is liaising with the UK corporate regulator, Bank of England and local stakeholders to prepare for Brexit's impact, it said in a statement. ASIC said it will enter into new memorandums of understanding (MoU) with the UK's Financial Conduct ...
Hayne report raises professionalism stakes
JAMIE WILLIAMSON  |  MONDAY, 11 FEB 2019
... on compliance and further education in the industry become law. Commissioner Kenneth Hayne is calling for the ASIC Financial Advisers Register (FAR) to be formalised and for the mandatory individual registration of all advisers. Under ...
ETP provider fined for misleading promos
JAMIE WILLIAMSON  |  THURSDAY, 7 FEB 2019
The provider of Australia's first exchange-traded bonds has been slapped with ASIC fines totalling more than $25,000 for making misleading statements online. Australian Corporate Bond Company, provider of XTBs, has paid $25,200 in penalties for ...
APRA could oversee stalled super fund mergers
KANIKA SOOD  |  WEDNESDAY, 6 FEB 2019
... Under it, superfunds would have to nominate an accountable person to the regulators. "It would be prudent to enable both ASIC and APRA to seek disqualification of accountable persons if they are satisfied that an accountable person has breached his ...
Australians prioritise car cover over life insurance
KARREN VERGARA  |  WEDNESDAY, 6 FEB 2019
... estimates about 12 million Australians have one or more forms of life insurance through their superannuation. A 2015 ASIC study found there were four million retail policies and about the same number (3.9 million) of people holding either ...
Institutions respond to Royal Commission, make commitments
HARRISON WORLEY  |  TUESDAY, 5 FEB 2019
... of hearings - which saw chief executives and chairs of the big banks, AMP and financial services regulators APRA and ASIC take the stand - surprised him, in the sense that executives were to some extent unwilling to take responsibility for ...
ASIC enforcement must get tough: Commissioner
KANIKA SOOD  |  TUESDAY, 5 FEB 2019
ASIC's enforcement arm must wrangle more muscle but it should be separated from the regulator's day-to-day dealings with its subjects, the Royal Commission final report said. Commissioner Kenneth Hayne said when ASIC identifies misconduct, its ...
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