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Showing 271 - 280 of 479 results for "ASIC Commissioner"

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 ...

ASIC sets sights on IPO investment

EMMA RAPAPORT  |  FRIDAY, 1 SEP 2017
... carefully considered by issuers and their advisers to produce more effective disclosure for retail investors," ASIC commissioner John Price said. "The project's findings allow us to have an understanding of the current factors and types of information ...

ASIC raises concerns over NSX listings

KARREN VERGARA  |  TUESDAY, 29 AUG 2017
... to review its implementation of the agreed actions and to provide a report on the findings by 31 March 2018. ASIC commissioner Cathie Armour said: "Listing standards are critical to the integrity of the Australian equities market, and the trust and confidence ...

FOFA breach sees former adviser banned

JAMIE WILLIAMSON  |  THURSDAY, 20 JUL 2017
... we will act to remove individuals who do not live up to the high standards expected of financial advisers," ASIC commissioner John Price said. ASIC said the banning should serve as a reminder to financial advisers of their obligations under Regulatory ...

SMSF auditor busted self-auditing

JAMIE WILLIAMSON  |  THURSDAY, 29 JUN 2017
... professional standards. ASIC will continue to take action where the conduct of SMSF auditors is inadequate," ASIC commissioner John Price said. Under the Superannuation Industry (Supervision) Act 1993, all auditors of SMSFs are required to be registered ...