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Showing 161 - 170 of 476 results for "ASIC commissioner"

Responsible entity fined $2m

ELIZA BAVIN  |  FRIDAY, 20 NOV 2020
... noted in handing down his judgment that the circumstances involved catastrophic losses sustained by investors. ASIC commissioner Cathie Armour said: "The Federal Court outcome sends an important deterrent message to other responsible entities, as well ...

ASIC opens consultation on scaled advice

ANNABELLE DICKSON  |  TUESDAY, 17 NOV 2020
... years, highlighting the 14.9% decrease in financial adviser numbers on the Financial Adviser Register to 21,284. ASIC commissioner Danielle Press added that good-quality affordable personal advice may help consumers make better financial decisions, especially ...

ASIC's Chester spills Crennan truth

ANNABELLE DICKSON  |  WEDNESDAY, 28 OCT 2020
... to write to a minister and say that in order to gain greater confidence that appropriate action was taken." ASIC commissioner Cathie Armour said the regulator accepts the failings while Peterson went on to say ASIC's leadership structure is a "total ...

DDO top of ASIC's agenda

ELIZA BAVIN  |  TUESDAY, 27 OCT 2020
... COVID-19 but ASIC said it is top of the priority list for 2021. Speaking to the annual Credit Law Conference, ASIC commissioner Sean Hughes said DDO reforms remain a top priority for the regulator. "The design and distribution obligations, which now ...

ASIC to curb huge CFD losses

KARREN VERGARA  |  FRIDAY, 23 OCT 2020
... the opening price, the buyer makes a profit. If the trade price decreases, the seller then makes the profit. ASIC commissioner Cathie Armour said the leverage ratio limits aim to decrease the size and speed of retail clients' losses by reducing CFD ...

Societe Generale fined over client breaches

ANNABELLE DICKSON  |  WEDNESDAY, 21 OCT 2020
... client money 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 ...

Transition away from LIBOR continues

ELIZABETH MCARTHUR  |  TUESDAY, 13 OCT 2020
... towards 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 ...

RBA, ASIC provide CHESS guidance

ALLY SELBY  |  FRIDAY, 2 OCT 2020
... efficient, 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 ...

ASIC, IOSCO report on debt capital raisings

ALLY SELBY  |  THURSDAY, 24 SEP 2020
... essential; as is 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 ...

ASIC takes disqualification decision to Federal Court

ALLY SELBY  |  FRIDAY, 11 SEP 2020
... member. "Self-managed superannuation fund auditors play a fundamental role in promoting confidence in the sector," ASIC Commissioner John Price said at the time. "ASIC will continue to take action to ensure auditors adhere to ethical standards," Gilliland ...

Editor's Choice

Treasury responds to Debelle's review into the AOFM

KARREN VERGARA
Treasury has responded to the Guy Debelle-led review into the Australian Office of Financial Management (AOFM), agreeing to all six recommendations.

Bravura ups guidance, reports earnings increase

RIDDHIMA TALWANI
Bravura Solutions informed investors cost discipline will protect its full year earnings result after a client migrated to a Business Process Outsourcing (BPO) early in the year.

MaxCap hires from Vanguard, AustralianSuper

MATTHEW WAI
MaxCap has welcomed two senior directors, including a portfolio manager from Australia's largest super fund, reporting to the recently named chief executive Kylie Robb.

Zenith snags mandate from Granite Bay

MATTHEW WAI
Granite Bay Private Wealth has selected Zenith Investment Partners to support their investment governance and due diligence.

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