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Showing 2311 - 2320 of 6696 results for "Securities"

APRA's IT infrastructure strains

ALEX DUNNIN  |  FRIDAY, 28 NOV 2014
... dissemination models built around PDFs and Excel files. APRA's information technology difficulties come just as the Australian Securities and Investments Commission (ASIC) lobbies the government to be included as a recognised agency as part of its data ...

ASIC calls for standard cyber risk measure

LAURA MILLAN  |  THURSDAY, 27 NOV 2014
... is a need to establish an international methodology to measure the businesses' vulnerability to the risk, Australian Securities and Investments Commission (ASIC) chairman Greg Medcraft said. "Cyber-crime around the world is growing and will continue ...

Wilson HTM reveals details of business transformation

LAURA MILLAN  |  THURSDAY, 27 NOV 2014
... details of the transformation process that the business is going through, including the establishment of a standalone securities business and significant changes to the board of directors. Chairman Steven Skala will stand aside in March 2015 after four ...

ACFS appoints execs from ANZ and EY

MARK SMITH  |  WEDNESDAY, 26 NOV 2014
... engagement. Before joining ANZ, Auster worked at economic consultancy firm ACIL Tasman in Melbourne, as well as Chase Securities and Merrill Lynch in New York. Also joining the ACFS team as business development advisor is Martin Walsh, an asset management ...

Adviser jailed for two years over $1.5M fraud

LAURA MILLAN  |  MONDAY, 24 NOV 2014
... years for stealing almost $1.5 million worth of shares. Michael King was made eligible for parole, but the Australian Securities and Investments Commission (ASIC) commissioner John Price said that "jail sentence shows that the court views misconduct ...

Advisers confronted with harsh reality of whistleblowing

LAURA MILLAN  |  FRIDAY, 21 NOV 2014
... Morris blew the whistle on several cases of adviser malpractice within Commonwealth Bank, initially to the Australian Securities and Investments Commission (ASIC) and later to the media, when he realised that the regulator was not acting on his and other ...

Original FoFA laws take immediate effect

JAMES FERNYHOUGH  |  THURSDAY, 20 NOV 2014
... time for the sector." While the original FoFA laws are now fully in place, enforcing them is a job for the Australian Securities and Investment Commission (ASIC). ASIC issued a release saying it would "take a practical and measured approach" to administering ...

ASIC begins legal action against LM Investment Management

MARK SMITH  |  THURSDAY, 20 NOV 2014
The Australian Securities and Investments Commission (ASIC) has begun legal action against LM Investment Management (LMIM) founder Peter Charles Drake and its former directors. The regulator is seeking financial penalties and banning orders following ...

ASIC to scrutinise intra-fund advice

JAMES FERNYHOUGH  |  WEDNESDAY, 19 NOV 2014
... expect a higher level of scrutiny of their intra-fund advice operations over the coming year, according to Australian Securities and Investments Commission (ASIC) deputy chairman Peter Kell. Kell said the regulator's increased scrutiny of this growing ...

SEC imposes US$4.16bn in penalties

ALEX DUNNIN  |  WEDNESDAY, 19 NOV 2014
The US corporate regulator, the Securities and Exchanges Commission (SEC), won orders for and imposed US$4.16 billion in penalties and disgorgements last year. In its 2013-14 annual report the SEC stated these penalties and disgorgements arose from ...