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Showing 311 - 320 of 539 results for "Supervision"

ASIC accepts EU from My Adviser

KERRIE SYDEE  |  WEDNESDAY, 24 AUG 2016
... instances. The investigation, which commenced in January 2016, looked at the conduct of My Adviser in relation to the supervision and monitoring of its representatives. In particular ASIC was interested in the conduct of Arion Financial and its predecessor ...

ASIC appoints markets disciplinary chair

ALEX BURKE  |  TUESDAY, 2 AUG 2016
... former deputy chair of the panel. He is also the deputy chief executive of Shaw and Partners, a member of ASIC's market supervision advisory panel and the ASX Appeal Tribunal. Gray replaces Lisa Gay, who has chaired the panel for six years. Gay also ...

ASIC threatens SMSF auditors with cancellation

MARK SMITH  |  WEDNESDAY, 29 JUN 2016
... person has been disqualified, by searching ASIC's SMSF Auditor register. From 1 July 2013, the Superannuation Industry (Supervision) Act 1993 required all auditors of SMSFs to be registered with ASIC. This was to ensure that all SMSF auditors at least ...

Trio Capital compensation complete

KERRIE SYDEE  |  FRIDAY, 1 APR 2016
... Managed Super Fund (SMSF) trustees, were not covered by the compensation framework under the Superannuation Industry (Supervision) Act 1993 (SIS Act). The government has already provided $71.7 million on compensation to eligible investors. Commenting ...

SMSFs welcome no dumping of LRBAs

DARREN SNYDER  |  SUNDAY, 8 NOV 2015
... be dumped. They said LRBAs can be part of a properly structured retirement plan provided appropriate regulation and supervision is enforced and supported by data collected by the Australian Tax Office (ATO). The government's FSI response was also welcomed ...

PROFILE: SuperBPO chief executive Michael Houlihan

DARREN SNYDER  |  FRIDAY, 23 OCT 2015
... which then became the first really chunky bit of superannuation law. In 1994 it became the Superannuation Industry Supervision Act and etcetera. "Back then there were very few complexities so the technology piece was quite easy. In fact setting up a ...

CBA publicly welcomes former staff bans

MARK SMITH  |  THURSDAY, 8 OCT 2015
... on adviser misconduct," the statement said. "As part of the Enforceable Undertaking between 2011 and 2013, the CFPL supervision and monitoring frameworks and processes were significantly improved and both Kent and Jamieson were reported as a result of ...

ASIC hits advice firm with more licence conditions

ALEX BURKE  |  FRIDAY, 2 OCT 2015
... providing advice that is in the best interests of their clients. We know that deficiencies in licensee guidance and supervision can lead to systemic misconduct by advisers," said ASIC deputy chair Peter Kell. ASIC's statement concluded by acknowledging ...

IOSCO releases retail investor education report

ALEX DUNNIN  |  THURSDAY, 17 SEP 2015
... investor engagement in financial planning and decision-making which will complement other regulatory tools such as supervision and enforcement. The purpose of the report was to craft a framework for regulators to follow regarding investor education and ...

ASIC warns super funds over transparency requirements

MARK SMITH  |  MONDAY, 7 SEP 2015
... falling short in their requirement to display certain information on their websites. The Superannuation (Industry) Supervision Act (SIS Act) and SIS regulations 2.37 and 2.38, introduced under Stronger Super reforms, require funds to display executive ...