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Showing 141 - 150 of 184 results for "Disclosing"

ASIC moves to protect OTC retail investors

MATT WOODINGTON  |  TUESDAY, 10 MAY 2011
... products they trade. It put in place a model to address four aspects impacting investors: ensuring client suitability, disclosing counterparty-risk, stewardship of client monies and practices where issuers make margin calls on clients.

Planners needle minister over FOFA

ALISON BEVEGE  |  THURSDAY, 14 APR 2011
... Act focused on licensing requirements and disclosure - principles that FOFA improved on. "We no longer accept that disclosing conflicts of interest is an appropriate way to address the fact that advice can be distorted by incentives," he said. "We also ...

Less paperwork, less compliance risk: CCH

MATT WOODINGTON  |  FRIDAY, 25 MAR 2011
... Another one is the way that leases are reported," said Evans. Meanwhile, ASIC has released a draft regulatory guide on disclosing non-conforming financial information. The body is concerned about an increase in the use of financial information in public ...

ASIC cracks down on CFD trading

RUTH LIEW  |  WEDNESDAY, 17 NOV 2010
... an "if not, why not" basis. ASIC's model will address four aspects impacting investors: ensuring client suitability, disclosing counterparty-risk, stewardship of client monies and practices where issuers make margin calls on clients. The benchmark draws ...

More disclosure pose unintended risks

JOHN MCDULING  |  THURSDAY, 28 OCT 2010
... strategy," Nugent said. Among other findings, the study conducted by Centre for Corporate Governance at UTS, revealed that disclosing information to shareholders on strategic skills and planning of boards remains a challenge for Australia's top companies. ...

Trustees warned as APRA toughens guidances

ALEX DUNNIN  |  WEDNESDAY, 11 AUG 2010
... constrain, impede, restrict or discourage, whether by confidentiality clauses, policies or other means, any person from disclosing information or providing documents to APRA."

Goldman Sachs pay $620m to settle SEC lawsuit

SEC RELEASE, BLOOMBERG  |  FRIDAY, 16 JUL 2010
... year against Goldman and Fabrice Tourre, director of the sub-prime mortgage product ABACUS 2007-AC1, for allegedly not disclosing Paulson & Co's role in the ABACUS deal to investors. It has been reported that in April 2007, a deal was closed for the ...

New performance reporting standards for retail funds

ALEX DUNNIN  |  WEDNESDAY, 26 MAY 2010
... a wholesale style reporting that reverses nearly a decade of consumer disclosure reforms that pushed super funds to disclosing returns after all fees. But IFSA have rejected this criticism saying that consumers under the new regime will now be better ...

Bans and charges for advisers: ASIC

ASIC RELEASE  |  FRIDAY, 20 NOV 2009
... to SMSF trustees. Dangar recommended investments in Morris Finance and NSW Finance & Leasing to SMSF clients without disclosing that he was a director of both companies and held a beneficial interest in their shares. The Administrative Appeals Tribunal ...

Market Wrap - Morning

AAP  |  WEDNESDAY, 11 NOV 2009
... rose 2.30 per cent after reporting a solid profit performance this year, while Barclays Bank lost 5.10 per cent after disclosing a sharp slide in third-quarter net profits as its bad debts soared. Rival bank HSBC, Europe's biggest bank, gained 4.02 per ...