Search Results | Showing 301 - 310 of 6425 results for "regulatory" |
| | | ... proceedings" brought by ASIC. The case marks the first time ASIC has acted against a research house. "SQM takes its regulatory obligations extremely seriously and has cooperated fully with ASIC throughout its investigation," he said. "Our methodologies ... |
| | | | ... can hold the path amid geopolitical tensions. "One of the things we can [be] actually appreciative of, is that our regulatory environment means that we only do this because it makes a material financial difference... all of these things make us a beacon ... |
| | | | ASIC commissioner Simone Constant said superannuation funds are working well with the regulator in terms of their investments in private markets, but said as whole, more needs to be done by all large investors. Constant said the regulator's increased ... |
| | | | Speaking at the ASFA Conference 2025, AUSTRAC deputy chief executive, regulation Katie Miller said superannuation trustees will likely encounter more issues of money laundering as a greater number of their members reach retirement. Miller said that ... |
| | | | ... and strategy programs across APAC's top financial institutions. He joins from IBM Promontory, where he covered regulatory remediation, data-led strategy, and AI-driven innovation for APRA-, ASIC-, and AUSTRAC-regulated clients. Shinkarsky's previous ... |
| | | | ASIC is taking legal action against MWL Financial Services, its former director Nicholas Maikousis, and lead generator Imperial Capital Group Australia over alleged Shield advice failures. ASIC alleges that MWL operated a business model that provided ... |
| | | | APRA executive director - superannuation, life and private health insurance Carmen Beverley-Smith has warned superannuation trustees that the regulator will use the full extent of its powers if funds are spending member money in irresponsible ways. ... |
| | | | ... Credit head Craig Schloeffel said some managers will need to assess their position in the market and how they meet regulatory requirements. "What it will do is for some managers create either a stay or leave proposition with a huge upskill to get to ... |
| | | | ASIC is suing SQM Research over its 'favourable' rating for the Shield Master Fund, marking the first time the watchdog has acted against a research house. ASIC alleges that the research house failed to obtain information needed to properly ... |
| | | | ASIC is taking Interprac Financial Planning to court over its failure to ensure representatives acted in clients' best interests. It's also been accused of lacking adequate risk management systems. The regulator said it was because of "critical ... |
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