Search Results | Showing 241 - 250 of 6131 results for "Commission" |
| | | ASIC is again taking action against Macquarie Bank for "multiple and significant compliance failures" relating to its futures-dealing business and over-the-counter (OTC) derivatives trade reporting. The failures have been undetected for many years ... |
| | | | The Australian Competition and Consumer Commission (ACCC) has appointed Sarah Proudfoot as chief executive. Despite also conducting an external search, Proudfoot started with the ACCC in 2005 when she joined the agency's Infocentre. She has since held ... |
| | | | ... Hong Kong, all of which are now subject to regulatory action or insolvency. In the US, the Securities and Exchange Commission charged Brite Advisors USA with custody rule breaches and fiduciary failures for directing client assets into accounts controlled ... |
| | | | ... flows in Australia. "We understand the local advice landscape, including the regulatory shifts following the Royal Commission. That knowledge, combined with our product expertise, positions us to serve advisers in a way other providers simply can't," ... |
| | | | ... licensing, changes to non-compete clauses and reviving national competition policy. "We commissioned from the Productivity Commission five big pieces of work on the main drivers, the main pillars of productivity in our economy. We'll see that in ... |
| | | | The Australia Securities and Investments Commission (ASIC) has made an order to permanently ban former Western Australia based financial adviser Neville Kendrick. Kendrick has been banned from providing any financial services, performing any function ... |
| | | | ... review, which has been submitted to the Reserve Bank of Australia (RBA) and the Australian Securities and Investment Commission (ASIC). The review found that while there are sufficient resources to support the ongoing maintenance and day-to-day operation ... |
| | | | ... for failing to disclose sponsorship of content and engaging in investor relations activities. The Alberta Securities Commission (ASC) found James Floreani, who runs Jayconomics, breached the local Securities Act when he engaged in investor relations ... |
| | | | ... million fell through. Nasdaq-listed ANSC, a special purpose acquisition company (SPAC), said in Securities Exchange Commission (SEC) filings that the parties "mutually determined to terminate the business combination agreement due to increasingly volatile ... |
| | | | ... access to affordable advice. There are currently less than 16,000 financial advisers in Australia. Prior to the Royal Commission, at its peak, there was about 26,500. The Coalition said setting a target acknowledges the collapse in adviser numbers and ... |
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