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Showing 281 - 290 of 1365 results for "Australian Securities and Investments Commission"

Citi appoints former ASIC deputy chair to board

JAMES FERNYHOUGH  |  FRIDAY, 19 SEP 2014
... Australia has appointed new non-executive director, former deputy chair of the Australian Securities and Investments Commission (ASIC) Belinda Gibson. Gibson was with ASIC from 2007 to 2013, where she had primary responsibility for the regulation of ...

ASIC reviews FoFA progress

JAMES FERNYHOUGH  |  THURSDAY, 18 SEP 2014
... numbers or the type of financial advice AFS licensees provide, according to the Australian Securities and Investments Commission (ASIC). In its review on the implementation of FoFA, ASIC also found little change in the ownership model, with the majority ...

Westpac fined over misleading statements on annuity product

LAURA MILLAN  |  WEDNESDAY, 17 SEP 2014
... statements on its Westpac Annuity Deposit. The bank has paid the penalty after the Australian Securities and Investments Commission issued two infringement notices regarding the product disclosure statement (PDS) and other promotional material. Westpac ...

Merrill Lynch Equities Australia handed $96,000 fine

MARK SMITH  |  FRIDAY, 12 SEP 2014
... with an infringement notice given to it by the Markets Disciplinary Panel. The Australian Securities and Investments Commission (ASIC) said the company received the penalty for failing to have in place an appropriate automated price filter in relation ...

Forget about national advice exam, focus on training: CPA

LAURA MILLAN  |  THURSDAY, 11 SEP 2014
... financial advice. The document acknowledged that previous consultation papers by the Australian Securities and Investments Commission (ASIC) in 2011 and 2013 have proposed lifting the current minimum standards. However, they have failed to assess "other ...

Bipartisan Senate inquiry to grill financial services again

LAURA MILLAN  |  FRIDAY, 5 SEP 2014
... of last year's Senate Economics Committee inquiry into the performance of the Australian Securities and Investments Commission (ASIC). The new Senate investigation will continue to look at the regulator's performance and will also examine the large financial ...

Senate bill challenges general advice definition

LAURA MILLAN  |  TUESDAY, 2 SEP 2014
... Whish-Wilson was a member of the Senate Economics Committee inquiry into the Australian Securities and Investments Commission (ASIC) that unveiled cases of poor advice and alleged fraudulent behaviour within Commonwealth Bank's advice business and Macquarie ...

Body needed to monitor adviser competency: FSC

LAURA MILLAN  |  TUESDAY, 2 SEP 2014
... The board should include representatives from industry participants such as the Australian Securities and Investments Commission (ASIC), the Tax Practitioners Board (TPB), a representative from each of the applicable advice associations and academics. ...

Matrix merger to place ClearView among top 10 licensees

LAURA MILLAN  |  MONDAY, 1 SEP 2014
... target's statement and the bidder's statement is expected to be lodged with the Australian Securities and Investments Commission (ASIC) and sent to Matrix shareholders. The offer is expected to close on October 4. Several of Matrix's shareholders have ...

FSI flooded with second round submissions

ALICE URIBE  |  FRIDAY, 29 AUG 2014
... players including Macquarie and the Commonwealth Bank of Australia (CBA) and the Australian Securities and Investments Commission (ASIC) have already been published. They cover responses to the Interim Report which discussed the financial system from ...