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Showing 221 - 230 of 6425 results for "regulatory"

ASIC returns $40m of CFD losses

ELIZA BAVIN  |  TUESDAY, 20 JAN 2026
... complied with their design and distribution obligations (DDO), ASIC's CFD product intervention order (PIO) and regulatory reporting requirements. ASIC found more than half the CFD sector had contravened the PIO by offering 'margin discounts' ...

MWL complainants given $100k in lead decision outcome

MATTHEW WAI  |  MONDAY, 19 JAN 2026
The Australian Financial Complaints Authority (AFCA) has finalised its review of MWL Financial Services' lead decision, confirming the business, which is in liquidation, did not act in the complainant's best interest. In December, AFCA unveiled the ...

State Street boosts digital asset access with new platform

MATTHEW WAI  |  FRIDAY, 16 JAN 2026
... "This platform is built on a client partnership model that ensures ongoing evolution in line with market needs and regulatory expectations, reduces complexity while opening the door to innovation in a rapidly evolving digital financial landscape." This ...

Advisers 'positioned to thrive' in 2026

ANGELIQUE MINAS  |  THURSDAY, 15 JAN 2026
... conversation with key industry professionals, the prospects for financial advisers in 2026 orbit around an evolving regulatory landscape, positioning and sector focus, and portfolio construction and global allocation. Fradley Advice specialist financial ...

GDG awards Hackett big pay day

ELIZA BAVIN  |  THURSDAY, 15 JAN 2026
... ensures market alignment. "The changes reflect the increased scale and complexity of GDG, including the strengthening of regulatory and risk capabilities, rationalisation of the groups technology architecture, and the establishment of a scalable operating ...

ASIC seeks feedback on updating financial reports relief guidance

MATTHEW WAI  |  TUESDAY, 13 JAN 2026
ASIC has commenced a consultation on updating the Regulatory Guide 43 Financial reports and audit relief (RG 43), to ensure clarity in granting relief from the financial record-keeping, financial reporting, and audit requirements. The update aims to ...

KKR chief operating officer steps down

ANGELIQUE MINAS  |  MONDAY, 12 JAN 2026
... step down from his role as chief operating officer effective immediately. KKR announced the departure of Stork in a regulatory filing dated January 8. In 2021, Stork left his role as deputy chief operating officer at BlackRock to take up the leadership ...

SEC slams proxy adviser 'oligopoly,' urges AI use

KARREN VERGARA  |  MONDAY, 12 JAN 2026
... interest (which was picked up by the SEC and enshrined in our 2003 proxy voting rule) metastasised over time across the regulatory landscape. While it took a few decades, investment adviser proxy voting policies now almost universally reflect the coupled ...

A new landscape for sustainable investing in 2026

ANGELIQUE MINAS  |  THURSDAY, 8 JAN 2026
... practises among younger generations, suggesting a stronger environmental influence over the financial services industry. Regulatory drawbacks are also anticipated, the report identified, with sustainability disclosure regulation likely to "continue the ...

Saudi Arabia opens access for foreign investors

MATTHEW WAI  |  THURSDAY, 8 JAN 2026
... diversify the investor base while enhancing market liquidity. The announcement follows the CMA board's approval of the regulatory framework, which eliminates the concept of the Qualified Foreign Investors (QFI), thereby allowing all categories of ...