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Showing 261 - 270 of 473 results for "ASIC Commissioner"

Convicted SMSF auditor disqualified

KANIKA SOOD | MONDAY, 19 MAR 2018

... Melbourne-based auditor's disqualification order was passed on 30 January and came into effect on 6 February. ASIC Commissioner John Price said: "SMSF auditors play a fundamental role in promoting confidence in the SMSF sector. ASIC will continue to ...

ASIC to target non-compliant advisers and AFSLs

JAMIE WILLIAMSON | THURSDAY, 1 MAR 2018

... services industry that could create harm, ASIC will take enforcement action to protect investors and consumer," ASIC commissioner Cathie Armour said. Over the course of the six month period to 31 December 2017, ASIC undertook a total of 63 investigations ...

Conflicted SMSF auditor disqualified

JAMIE WILLIAMSON | WEDNESDAY, 28 FEB 2018

... promoting confidence in the SMSF sector, so it is crucial that they adhere to ethical and professional standards," ASIC commissioner John Price said. "ASIC will continue to take action where the conduct of SMSF auditors is inadequate." Yesterday ASIC ...

Most investors shun credit ratings: Poll

KARREN VERGARA | MONDAY, 26 FEB 2018

... Markets Authority (ESMA), created in 2011, aim to hold agencies accountable and protect investors, CFR said. ASIC commissioner Cathie Armour said credit rating agencies "play an important role in our market by giving market users, for example, investors ...

HLB Mann Judd revises AFSL

JAMIE WILLIAMSON | THURSDAY, 18 JAN 2018

... gatekeepers. We will continue to monitor licensees and, where necessary, take licensing and enforcement actions," ASIC commissioner John Price said.

SMEs lack cybersecurity resilience: ASIC

KARREN VERGARA | MONDAY, 4 DEC 2017

... managed systems and data. All firms indicated that these were priority areas for the next investment period. ASIC Commissioner Cathie Armour said: "Cyber resilience is now widely regarded as one of the most significant concerns for the financial markets ...

Sydney licensee caught out on conflicts

JAMIE WILLIAMSON | MONDAY, 27 NOV 2017

... publication by those stockbrokers of sell-side research on securities should be independent and objective," ASIC commissioner Cathie Armour said. "Ensuring this conduct meets these standards directly is necessary to ensure the integrity of financial ...

Treasury rolls out ASIC industry funding fee paper

ALEX BURKE | FRIDAY, 24 NOV 2017

... component of the Government's plan to improve consumer outcomes in the financial services sector," O'Dwyer added. ASIC commissioner John Price welcomed the consultation paper, saying: "The current fees for these activities do not reflect their actual ...

Former adviser cops 10-year imprisonment

KARREN VERGARA | WEDNESDAY, 15 NOV 2017

... said that as a result of losing all his superannuation he now suffers from depression and other health issues. ASIC commissioner John Price said the outcome should serve as a warning to company directors and financial advisers who breach community standards ...

Former BBY adviser cops 10-year ban

KARREN VERGARA | WEDNESDAY, 8 NOV 2017

... client accounts that was inconsistent or contrary to, the investment strategy agreed in the Statement of Advice. ASIC commissioner Cathie Armour said: "Financial advisers are expected to act with honesty and in the interests of their clients. ASIC will ...

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Federal Court calls out ASIC for re-running case on appeal

RIDDHIMA TALWANI

The Full Federal Court of Australia has criticised regulators for falling back on appeals to re-litigate cases on a different legal basis than the one run at trial.

Evergreen founder exits Ascalon Capital

KARREN VERGARA

Ascalon Capital has bid farewell to Evergreen Consultants' founder Angela Ashton, shortly after acquiring the consulting firm last year.

Powerhouse Ventures partners with European fund manager

KARREN VERGARA

ASX-listed Powerhouse Ventures has partnered with an unnamed European fund manager that will commit US$50 million to its fledgling Critical Infrastructure Opportunities (CIO) Fund.

KeyInvest unveils new investment platform, awards mandate

MATTHEW WAI

KeyInvest has launched a new investment platform to include a plethora of investment strategies ranging from private credit to global equities.

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