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Showing 21 - 30 of 52 results for "Class Order 14/443"

ASIC accepts J.P. Morgan enforceable undertaking

ALEX BURKE  |  THURSDAY, 19 NOV 2015
ASIC has accepted an enforceable undertaking from three J.P. Morgan companies. The entities affected are J.P. Morgan Securities plc, J.P. Morgan Securities (Asia Pacific) and J.P. Morgan Securities LLC, about which ASIC said it had "concerns" following ...

PROFILE: HESTA chief executive Debby Blakey

LAURA MILLAN  |  WEDNESDAY, 8 APR 2015
"I love the fact that Melbourne has lots of immigrants and great, multicultural suburbs," she says, comparing it to the quiet suburb in Durban, South Africa, where she spent most of her childhood and early years of her adult life. A computer programmer ...

Tight regulation getting in the way of digital advice: Minter Ellison

LAURA MILLAN  |  MONDAY, 22 SEP 2014
Advisers are being prevented from using sophisticated online tools to provide tailored information to their clients due to tight regulation, and instead can only use simple tools, Minter Ellison said. "While [the Australian Securities and Investments ...

IFS caught investing in unregistered schemes

LAURA MILLAN  |  WEDNESDAY, 28 MAY 2014
... their investment options after a review of their industry fund portfolio service found they were in breach of ASIC class order 'Investor directed portfolio-like services provided through a registered managed investment scheme' (02/296). The business ...

Lawyer exposes ASIC favours to big players

LAURA MILLAN  |  THURSDAY, 3 APR 2014
Former Australian Securities and Investments Commission (ASIC) lawyer James Wheeldon has revealed the regulator gave favourable treatment to the big end of the market. Wheeldon appeared yesterday at a public hearing of the Senate inquiry into the performance ...

ASIC extends short PDS relief

LAURA MILLAN  |  TUESDAY, 11 FEB 2014
The Australian Securities and Investments Commission (ASIC) has extended interim class order relief from the shorter product disclosure statement (PDS) regime for multi-funds, superannuation platforms and hedge funds. A class order has extended the ...

ASX managed funds services gets ASIC nod

JAMES FERNYHOUGH  |  MONDAY, 13 JAN 2014
The Australian Securities Exchange (ASX) has cleared the most significant hurdle on the road to its 'mFund Settlement Service' - the third incarnation of AQUA II - after the Australian Securities and Investment Commission (ASIC) gave it the go-ahead. ...

Hedge fund maestro Hintze voices concern over regulation

MARK SMITH  |  THURSDAY, 12 SEP 2013
Tighter regulation poses the greatest challenge to the hedge fund industry, according to Australian industry legend Sir Michael Hintze. Speaking at the Alternative Investment Management Association's Hedge Fund Forum in Sydney this week, Hintze said ...

Trading platform bids to raise industry transparency standards

MARK SMITH  |  TUESDAY, 20 AUG 2013
... matched, providing total transparency of client money (TOCM). The move is a more stringent adaptation of the ASIC Class Order (CO 02/294) from 2008 for businesses offering Investor Directed Portfolio Services (IDPS). Saxo's Australian chief executive ...

ASIC to accept submissions for 'hedge fund' definition

LAURA MILLAN  |  THURSDAY, 23 MAY 2013
The Australian Securities and Investments Commission (ASIC) will consider submissions from the industry in order to refine the definition of 'hedge fund'. The announcement follows concerns over the current definition of 'hedge fund' and affects a number ...