Search Results | Showing 201 - 210 of 6430 results for "Regulatory" |
| | | ... management requirements throughout a period of heightened volatility, the ASX said. The launch is currently subject to regulatory clearance and industry readiness. Commenting, ASX head of rates and benchmarks Allan McGregor said the exchange continues ... |
| | | | Interprac Financial Planning will need to pay approximately $120,000 in compensation to a complainant over inappropriate advice provided in relation to the Shield Master Fund, the Australian Financial Complaints Authority (AFCA) lead decision reveals. ... |
| | | | After stagnating for several years, the government has released draft legislation to prevent convicted child sexual abusers from hiding their assets in superannuation to avoid compensating their victims. Identical to the January 2023 discussion paper ... |
| | | | ... appointment as the first female in the role is an important milestone for gender equity in Australia's financial regulatory leadership. "ASIC's role in protecting everyday Australians has rarely been more important, as the regulator continues ... |
| | | | ... "This reflects poorly on the 'compliance culture' of AUFM at the time. It suggests that AUFM did not take its regulatory obligations sufficiently seriously," the judge said. Following the decision, Australian Unity was made to display an adverse ... |
| | | | ... members are more than capable of filling the void. "Our members are highly trained and skilled, and can assist, but the regulatory environment needs urgent reform to allow our members in public practice to assist their clients with their everyday financial ... |
| | | | ... failed to advise ASIC of changes to their contact details on the public register of SMSF auditors, did not respond to regulatory compliance requests or did not carry out enough audit work to meet the practical experience requirements. Between 1 July ... |
| | | | ... platforms hiring for risk roles. This came in the wake of the Shield and First Guardian collapses, with the increased regulatory scrutiny pushing platform operators to hire to shore up emerging risks and strengthen existing internal governance practices. ... |
| | | | The Australian Securities Exchange (ASX) has flagged a jump of 20% in its total expenses to $264.4 million in the first half of the financial year, after it agreed to implement a package of reforms to improve its operations last year. ASX updated its ... |
| | | | The Federal Court has handed BPS Financial $14 million in pecuniary penalties over the way in which it promoted and operated its crypto product Qoin Wallet. According to ASIC, BPS Financial advertised the product as a non-cash payment facility linked ... |
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