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| | | ... obligations seriously as they are important to ensure we have efficient well-functioning financial markets," ASIC commissioner Greg Tanzer said. "ASIC can and does hold gatekeepers to account to ensure investors can have confidence in our financial system." ... |
| | | | ... roles in the company also seem... to qualify them as its 'high managerial agents.'" Commenting on the findings, ASIC commissioner John Price said: "Company officers, including directors, play a very important role as gatekeepers in Australia's financial ... |
| | | | ... facilitate fintech innovation while maintaining protections to ensure investor and consumer trust and confidence," ASIC commissioner John Price said. He added: "ASIC anticipates that the proposed regulatory sandbox exemption may bring better financial ... |
| | | | ... term as chair will also be extended, pending approval from the Governor-General, by 18 months; an additional ASIC commissioner will be appointed at the same time. Medcraft welcomed the news, saying: "This will enable further surveillance and enforcement ... |
| | | | ... infrastructure and training to support its intelligence capabilities. Commenting on the enforcement report, ASIC commissioner Greg Tanzer said, "ASIC does everything in its power to detect and take action against those who break the law, to ensure consumers ... |
| | | | ... organisations with this, and previous reviews, revealing good examples of companies committed to conflicts management," ASIC commissioner Greg Tanzer said. "However, it is clear that some organisations adopt a generic template conflicts policy, with ... |
| | | | ... having the potential to offer Australian consumers access to good quality, low-cost, financial advice," said ASIC commissioner John Price. "ASIC is committed to helping industry take advantage of the opportunities offered by robo-advice while ensuring ... |
| | | | ... 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 ... |
| | | | ... 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. ... |
| | | | ... 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 ... |
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