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Showing 331 - 340 of 479 results for "ASIC Commissioner"

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 ...

ASIC warns super funds over transparency requirements

MARK SMITH  |  MONDAY, 7 SEP 2015
... financial advisers and other gatekeepers. Some consumers may find it helpful in making superannuation decisions. ASIC Commissioner Greg Tanzer said, "Our survey indicated that superannuation trustees generally seem to have understood what was intended ...

ASIC financial services enforcements down 10%

ALEX BURKE  |  THURSDAY, 6 AUG 2015
... achieving and rewarding good conduct and good outcomes for customers," the report continued. Commenting on this, ASIC commissioner Greg Tanzer said: "Poor culture is a key driver of poor conduct in the financial services industry. "Given the strong connection ...

ASIC issues digital disclosure guidance

ALEX DUNNIN  |  TUESDAY, 28 JUL 2015
... innovative communication styles such as those incorporating interactive multi-media, said ASIC in a statement. ASIC Commissioner John Price said, "This can boost consumer understanding of financial services and products." "The measures announced today ...