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Showing 11 - 20 of 557 results for "Supervision"

ASIC cancels AFSL of Capital Guard over fake bond sale

ELIZA BAVIN  |  FRIDAY, 3 JUL 2026
... deceptive conduct, dishonest conduct in connection with its financial services business, and failures in compliance, supervision and resourcing. ASIC found Capital Guard used or caused to be created a fake bond prospectus for a Macquarie Bank bond that ...

APRA names new deputy chairs

VINNY VUCAGO  |  FRIDAY, 3 JUL 2026
... has served as an APRA member since October 2022. She will continue overseeing the prudential regulator's banking supervision, strategy, risk and compliance functions. Bradbury brings more than 25 years of experience across economic policy and financial ...

Treasury publishes final report into the ERS

ELIZA BAVIN  |  THURSDAY, 2 JUL 2026
... review also suggested the ERS should be better integrated with ASIC's broader functions, particularly licensing and supervision, to ensure it is aligned with ASIC's overarching regulatory approach, provide a clearer pathway to licensing for participants ...

Tribunal shortens financial adviser's five-year ban

KARREN VERGARA  |  WEDNESDAY, 1 JUL 2026
... legal representative, said Henry was a relatively junior adviser on probation at the time and operated under strict supervision within his licensee. Each Statement of Advice (SoA) he prepared was subject to mandatory pre-vet compliance checks and approved ...

ASIC pushes to bolster competitiveness

ELIZA BAVIN  |  TUESDAY, 30 JUN 2026
... implications for capital markets as agentic artificial intelligence (AI) and machine-speed, autonomous trading, and supervision tools enter the hands of traders, market participants and market operators. "The core of ASIC's mission is to facilitate ...

Super the backbone of stressed financial ecosystem: APRA

MATTHEW WAI  |  TUESDAY, 30 JUN 2026
... scenario." Commenting, APRA chair John Lonsdale said the SRST produced valuable insights that would inform its policy and supervision priorities. "As our financial system becomes more interconnected, decisions made in one part of the system not only ...

ASX to focus on pattern of problematic behaviour in listed entities

RIDDHIMA TALWANI  |  FRIDAY, 26 JUN 2026
... ramp up a company's share price through inappropriate use of the market announcements platform. In its Listed Entity Supervision Report 2026, ASX noted over the last 18 to 24 months it has been actively reducing the number and type of announcements that ...

APRA investigating Diversa's executive compensation

RIDDHIMA TALWANI  |  THURSDAY, 25 JUN 2026
... decisions were made in accordance with prudential standards and trustees' duties under the Superannuation Industry (Supervision) Act. "Prudent remuneration practices play a critical role in driving sound governance and protecting the best financial interests ...

CSLR levy must be directed towards bad actors: Burgess

MATTHEW WAI  |  FRIDAY, 29 MAY 2026
... member choice, SMSFs or switching itself. "They are misconduct, conflicted incentives, poor product governance, weak supervision, and failures to enforce existing obligations," he said. In response to Treasury's proposal on how the CSLR applies for SMSFs ...

Heightened cyber threats require greater accountability on governance

MATTHEW WAI  |  WEDNESDAY, 27 MAY 2026
... keep themselves on track, he said. The Australian Prudential Regulation Authority (APRA) has recently ramped up its supervision on risk management practices for regulated entities, which noted the increasingly sophisticated cyber threats enabled by AI ...