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Showing 381 - 390 of 539 results for "Supervision"

Halifax to fix deficiencies after ASIC review

ALICE URIBE  |  FRIDAY, 5 APR 2013
... management and compliance. There were licence compliance issues with its financial services practices including the supervision and monitoring of representatives, oversight of training and professional standards of representatives and breaches in reporting ...

Securities dealer scales back after ASIC review

LAURA MILLAN  |  THURSDAY, 4 APR 2013
... including providing services outside those authorised under the license, breaching assessment and reporting processes and supervision and monitoring of authorised representatives. As a result of the review, CSS volunteered to wind back its operations ...

APRA appoints new chair

MARK SMITH  |  WEDNESDAY, 3 APR 2013
... Authority (APRA). Byres became the first Australian to be appointed secretary general to the Basel Committee on Banking Supervision, the global forum responsible for the G20 banking agenda. He was also central to Australia's prudential response to the ...

ASIC speeds up misconduct probe

MARK SMITH  |  WEDNESDAY, 27 FEB 2013
The Australian Securities and Investments Commission (ASIC)'s latest report on the supervision of markets and participants shows that the regulator has significantly reduced the time it takes to start investigations of suspicious market conduct. Of ...

IOOF posts $33.2m profit

BEN COLLINS  |  MONDAY, 25 FEB 2013
... its business in a way that ensures long-term grown, Kelaher said. Funds under management, advice, administration and supervision grew $9.1 billion, to $116.4 billion. "In an environment where many of our competitors are treading water, IOOF is taking ...

Tax consultant cops two years jail for insider trading

MARK STORY  |  THURSDAY, 13 DEC 2012
... $50,000. Glynatsis was sentenced to two years imprisonment, and will serve his sentence in the community under the strict supervision of Corrective Services NSW, under an Intensive Correction Order. Glynatsis must comply with the supervisor's directions ...

ASIC takes action against Storm adviser

BEN COLLINS  |  THURSDAY, 22 NOV 2012
... Business Services Pty Ltd. He has to complete a professional development course within the next year, and submit to supervision requirements under the enforceable undertaking. Advice he provides to clients for the next two years will also be checked ...

Kohler campaign slammed by ASFA

BEN COLLINS  |  MONDAY, 5 NOV 2012
... Limited to increase subscription and other revenue. "While the campaign clearly is critical of existing superannuation supervision and arrangements and is supportive of greater engagement by individuals with their superannuation, it is less clear what ...

APRA issues final Basel III reforms

LINDA HAUSKEN  |  TUESDAY, 2 OCT 2012
... into full effect from next year. The Basel III capital framework was introduced by the Basel Committee on Banking Supervision in December 2010 to raise the quality and level of capital in the global banking system. The new tough rules that will apply ...

ISN expand policy and research team

LINDA HAUSKEN  |  FRIDAY, 28 SEP 2012
... economic infrastructure of Australia. He has previously held a number of positions with APRA, most recently in banking supervision. David Whiteley, chief executive at the Industry Super Network, said that the two appointments would help the firm increase ...

Editor's Choice

Global X awards mandate for ETF business

ELIZA BAVIN  |   12:33PM
Global X has awarded a new custody and administration mandate for its Australian ETF business.

Bell Asset Management launches small-caps fund

KARREN VERGARA  |   11:56AM
Bell Asset Management has formally launched its Australian Small Companies Fund, which is run by former Tyndall Asset Management portfolio managers.

Former Australian Ethical finance chief lands new gig

MATTHEW WAI  |   11:09AM
The former chief financial officer of the ethical investment manager has joined a local finance company after wrapping up his tenure at AUB Group.

MySuper assets pursue $1.5tn Choice sector

KARREN VERGARA  |   12:20PM
MySuper assets are fast catching up to the $1.5 trillion Choice sector, hitting nearly $1.2 trillion in the March quarter.

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