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Showing 321 - 330 of 472 results for "ASIC Commissioner"

ASIC tightens Macquarie's AFSL

ALEX BURKE  |  FRIDAY, 11 MAR 2016
... expects licensees to maintain strict controls and follow proper procedures in their handling of client funds," ASIC commissioner John Price said. "Where that does not occur, ASIC will take action to ensure a licensee's ability to continue operating is ...

ASIC slams ex-Macquarie agri chief for fake family office

ALEX BURKE  |  TUESDAY, 16 FEB 2016
... that he was in a position of responsibility and that general deterrence is an important factor in this case. ASIC commissioner Greg Tanzer added, "The deceptive conduct of Mr Hornibrook was not inadvertent nor was it the result of a momentary lapse. ...

ASIC forms its views on MySuper dashboards

DARREN SNYDER  |  FRIDAY, 11 DEC 2015
... disclosure of a superannuation fund's portfolio holdings to assets held directly and by associated entities. ASIC commissioner Greg Tanzer said for a dashboard to be effective it must be useful to as wide an audience as possible. "This testing should ...

Third SMSF auditor banned

DARREN SNYDER  |  THURSDAY, 3 DEC 2015
... years ending 30 June 2013 and 2014 when he was not a registered company auditor under the Corporations Act 2001. ASIC Commissioner John Price said auditors are important gatekeepers who play a crucial role in the SMSF sector. "SMSF auditors must maintain ...

ASIC bans another SMSF auditor

ALEX BURKE  |  WEDNESDAY, 2 DEC 2015
... perform their role adequately and meet professional standards to promote confidence in the SMSF sector," said ASIC commissioner John Price. He added, "Compliance with the independence requirements is fundamental in fostering this confidence. ASIC will ...

SMSF auditor disqualified

MARK SMITH  |  MONDAY, 30 NOV 2015
... lodged an application with the Administrative Appeals Tribunal for a review of ASIC's disqualification decision. ASIC Commissioner John Price said as the SMSF sector continues to grow in popularity with Australian investors it is critical that approved ...

New super transparency rules spark controversy

LAURA MILLAN  |  WEDNESDAY, 25 NOV 2015
... extremely important for consumers when making decisions about their superannuation and managed investments," ASIC commissioner Greg Tanzer said. However, the new requirements were questioned by Industry Super Australia chief executive David Whiteley ...

ASIC accepts J.P. Morgan enforceable undertaking

ALEX BURKE  |  THURSDAY, 19 NOV 2015
... financial services licence and that they are regulated by the relevant overseas regulatory authority," said ASIC commissioner Cathie Amour. "Foreign financial service providers seeking to provide financial services to Australian wholesale clients must ...

ASIC bans SMSF adviser

ALEX BURKE  |  MONDAY, 9 NOV 2015
... ongoing. "If a financial adviser engages in dishonest conduct, ASIC will remove them from the industry," said ASIC commissioner John Price.

ASIC warns super trustees

DARREN SNYDER  |  TUESDAY, 15 SEP 2015
... has warned superannuation trustees about the promotion of member direct or self-managed investment options. ASIC commissioner Peter Kell said that occasionally the promotion of self-managed investment options gave the impression members were provided ...