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|Search Results||Showing 21 - 30 of 39 results for "James Shipton"|
|... effective manner," ASIC said. "Boards cannot afford to ignore the oversight of non-financial risks," ASIC chair James Shipton said. "As we have seen, all risk can have financial consequences. If not well managed, non-financial risks carry very real financial ...|
|... mentioned court action ASIC has taken against Select AFSL, Dover and NAB as a result of the Royal Commission. ASIC chair James Shipton said: "As we have seen in recent weeks, a number of those referrals and case studies are before the courts, and we ...|
|... financial system to really improve, fairness needs to be embedded into financial institutions, according to ASIC chair James Shipton. Opening ASIC's annual forum in Sydney recently, Shipton said the concept of fairness needs to be embedded "into every ...|
|... allegedly used to facilitate his dishonesty, paving the way for the charges to be laid. ASIC's action comes after chair James Shipton faced the Royal Commission last week in Sydney. During the hearing, Shipton said he was in favour of applying the Banking ...|
|ASIC chair James Shipton said he is in favour of applying the Banking Executive Accountability Regime to senior ASIC staff while being quizzed on the regulator's current governance. After telling Senior Counsel Assisting Rowena Orr that he believes ...|
|ASIC chair James Shipton has admitted the corporate regulator was too reliant on negotiating resolutions with financial services firms and flagged litigation could take precedence, the Royal Commission heard. Shipton told counsel assisting Rowena Orr ...|
|Highlighting the point ASIC chair James Shipton made about slow and delayed responses from Australia's financial institutions , a bank's financial advice subsidiary has sought an extension to complete a major report as part of its enforceable undertaking. ...|
|... experiencing deliberate delays from financial institutions in meeting reporting requirements. On Friday, ASIC chair James Shipton told the Parliamentary Joint Committee on Corporations and Financial Services that the regulator is still experiencing "slow ...|
|... was recently given a $70 million funding boost and second deputy chair in Daniel Crennan. Together with ASIC chair James Shipton, Frydenberg said they are working on a turnaround strategy on enforcement and compliance. What is not clear from the report ...|
|... legislation, the premise is more likely to be that the conduct will be harmful to the economy generally." ASIC chair James Shipton responded to the interim report in a statement stating ASIC welcomed the report and acknowledged the Commission's work ...|
The financial adviser population has reverted to the pre-financial services Royal Commission days, ending at 20,667 in the first quarter of 2021.
Local institutional investors appointed 313 mandates totaling $43 billion in 2020, down from $51 billion the year before, according to Rainmaker's latest Mandate Chaser report.
In the latest of many executive exits, AMP Capital has confirmed its head of real estate distribution has departed after more than a decade with the company.
A defined benefit fund with $77 million in funds under management is completing a successor fund transfer to a Mercer subplan.
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