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Showing 1 - 10 of 1989 results for "Australian Securities"

J.P. Morgan hit with $775k penalty

ELIZA BAVIN  |  THURSDAY, 9 MAY 2024
... been hit with a $775,000 fine by the Markets Disciplinary Panel (MDP) following an investigation by the Australian Securities and Investments Commission (ASIC). The MDP found JPMSAL permitted suspicious client orders to be placed on the futures market ...

ASIC hits back at parliament: 'Simply not realistic'

ELIZA BAVIN  |  TUESDAY, 30 APR 2024
Australian Securities and Investments Commission (ASIC) chair Joe Longo had some choice words when addressing the Parliamentary Joint Committee on Corporations and Financial Services today. When questioned over its capacity to respond to people who ...

MSC Certane wins Suncorp mandate

ELIZA BAVIN  |  TUESDAY, 23 APR 2024
... trustee for its successful $360 million notes offer. The unsecured notes will be listed and tradeable on the Australian Securities Exchange (ASX) from 15 May 2024 (ASX: SUNPJ). As the trustee for the notes offer, MSC Group was appointed under the Corporations ...

Auditors lambast mandatory climate reporting requirements

ELIZA BAVIN  |  TUESDAY, 23 APR 2024
... into unnecessary financial hardship as a result of these planned new reporting requirements." Meantime, Australian Securities and Investments Commission (ASIC) chair Joe Longo said growing interest in environmental, social, and governance issues had ...

ASIC cancels AFSL of JB Markets

ELIZA BAVIN  |  TUESDAY, 23 APR 2024
The Australian Securities and Investments Commission (ASIC) has cancelled the Australian Financial Services Licence (AFSL) of JB Markets effective from 12 April 2024. ASIC said JB Markets failed to comply with the financial requirements of its AFSL ...

ASIC chief executive to depart

ELIZA BAVIN  |  TUESDAY, 16 APR 2024
The chief executive of the Australian Securities and Investments Commission (ASIC) will be leaving the regulator, effective June 1. ASIC chair Joe Longo accepted a request from the Commonwealth Director of Public Prosecutions (CDPP) for ASIC chief executive ...

$53bn added to ETF market over 12 months

ELIZA BAVIN  |  THURSDAY, 11 APR 2024
... on international equity markets over the three months to 31 March 2024, according to data released by the Australian Securities Exchange (ASX) and Vanguard. The inflows into international equity ETFs represented 50% of the total inflows into the Australian ...

James Mawhinney applies to have ASIC's case struck out

ELIZA BAVIN  |  MONDAY, 8 APR 2024
... embattled Mayfair 101 private equity investment group have applied to the Federal Court to strike out the Australian Securities and Investments Commission's (ASIC) case against the group's managing director James Mawhinney. The strike-out application ...

Court rejects Provide Capital's 'illogical' application

KARREN VERGARA  |  WEDNESDAY, 3 APR 2024
... application that alleged ASIC did not have the state of mind required to conduct an investigation under the Australian Securities and Investments Commission Act 2001 (ASIC Act). Justice Rofe found that the firm's argument was "illogical and therefore ...

Director facing $13k fine in first of its kind action from ASIC

ELIZA BAVIN  |  MONDAY, 25 MAR 2024
The Australian Securities and Investments Commission (ASIC) has commenced the first prosecution action against a director for failing to comply with the obligation to have a director identification number (director ID). ASIC did not name the director ...
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