Search Results | Showing 151 - 160 of 2905 results for %22Regulator ASIC%22 |
| | | ... candidates attempt the exam. Of these, 150 passed. About 72% of the candidates were sitting the exam for the first time, ASIC said. The 150 candidates who passed in August brings the total number of advisers to pass the exam since its first sitting back ... |
| | | | ... excited about the launch of the Easy Default, it's not the end of the journey, it's the beginning," she said. In July, ASIC and APRA lambasted laggard super funds for not taking their Retirement Income Covenant obligations seriously. The joint ... |
| | | | ... chief of van Eyk Research Mark Thomas has copped a permanent ban from working in financial services by the corporate regulator. ASIC's banning order follows the former research house chief's sentencing last November when he pled guilty to breaching ... |
| | | | ... members whose multiple accounts had gone undetected. The average impacted member was to receive $650. Now, the corporate regulator has launched civil penalty proceedings against the nation's largest superannuation fund, saying the fund failed to ... |
| | | | ... practices as ASIC alleges it breached its DDOs. In August, Saxo Capital Markets was forced to amend its TMDs after the regulator raised concerns. |
| | | | ... these institutions clearly identify individuals who will be held accountable for the actions of the organisation." APRA and ASIC will jointly administer the FAR. "They will have the power to disqualify accountable persons, investigate suspected breaches ... |
| | | | ASIC is suing Westpac for neglecting more than 200 customer hardship requests over seven years, for which the bank blames "technology failure". ASIC commenced civil penalty proceedings in the Federal Court, alleging that Westpac failed to respond to ... |
| | | | ... Storehouse Residential Trust or any information about it after ASIC determined the TMD to be "defined too broadly", with the regulator saying it didn't adequately account for the risks and features of the fund, and that information within the TMD was ... |
| | | | ASIC and the Reserve Bank of Australia (RBA) have set out high expectations for the ASX to get the CHESS replacement right, forcing it to consult on all matters on the CHESS replacement with the newly established oversight body. In a joint letter, the ... |
| | | | ... products." After reviewing 15 super fund trustees, collectively representing the superannuation of over five million Australians, ASIC and APRA identified significant shortcomings in the system. The regulators had three overarching observations; a greater ... |
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