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Showing 241 - 250 of 471 results for "ASIC Commissioner"

ASIC appoints to disciplinary panel

KANIKA SOOD  |  FRIDAY, 30 NOV 2018
... trading's John Manchee and Goldman Sachs electronic trading executive director Ian Jones have all been appointed. ASIC Commissioner Cathie Armour said: "These new appointments ensure the MDP continues to have the appropriate mix of expertise, experience ...

Court fines stockbroker $350k

KARREN VERGARA  |  THURSDAY, 22 NOV 2018
... comply with the infringement notice, ASIC commenced civil penalty proceedings against it on 21 November 2016. ASIC Commissioner Cathie Armour said the Market Integrity Rules are vital to ensuring that Australia's financial markets are fair and efficient ...

Westpac cops BBSW fine

HARRISON WORLEY  |  MONDAY, 12 NOV 2018
... As a result of the ruling, Westpac is also set to pay ASIC's costs of and incidental to the penalty hearing. ASIC Commissioner Cathie Armour was pleased with the court's ruling, and added ASIC moved litigation against the banks to hold them to account. ...

ASIC moves to make licensees FASEA compliant

JAMIE WILLIAMSON  |  FRIDAY, 9 NOV 2018
... also proposed that any responsible manager has spent at least three of the last five years in a relevant role. ASIC commissioner Danielle Press said the additional option reflects the higher levels of competence expected in the industry. "Our proposals ...

Former adviser jailed, ASIC posts FY18 stats

KARREN VERGARA  |  THURSDAY, 1 NOV 2018
... Birk's father financially. ASIC said that Gold Coast-based Birk gained about $800,000 from his dishonest conduct. ASIC commissioner Danielle Press said Birk's actions were dishonest and betrayed the trust of his clients. "Today's decision ...

More SMSF auditors disqualified

DARREN SNYDER  |  TUESDAY, 30 OCT 2018
... requirements in auditing their own funds, the fund of an immediate family member and the fund of a close family member. ASIC Commissioner John Price said self-managed superannuation auditors play a fundamental role in promoting confidence in the sector ...

ASIC keeps watch on SMSF auditors

DARREN SNYDER  |  MONDAY, 29 OCT 2018
... giving independent assurance over fund financial reports and reporting non-compliances with fund requirements," ASIC Commissioner John Price said. "As gatekeepers, they are expected to adhere to the highest standards in the performance of their role. ...

Former Australian cricket captain in crypto fail

JAMIE WILLIAMSON  |  TUESDAY, 23 OCT 2018
... an illegal unregistered managed investment scheme; and not holding an AFSL. Commenting on the ongoing action, ASIC commissioner John Price said: "If you raise money from the public, you have important legal obligations. It is the legal substance of your ...

ASIC offers fee relief to drought-affected farmers

HARRISON WORLEY  |  TUESDAY, 2 OCT 2018
... about available financial counselling services and provide company fee relief to those affected by the drought. ASIC commissioner John Price noted the severity of the current drought, recognising it is the cause of financial hardship for many people. ...

Improve climate risk disclosure: ASIC

HARRISON WORLEY  |  FRIDAY, 21 SEP 2018
... manage risk, and consider ow best to comply with the law where it requires the disclosure of material risks. ASIC commissioner John Price said the regulator would monitor market practice of climate risk disclosure as it continued to develop both here ...