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Showing 391 - 400 of 472 results for "ASIC Commissioner"

Bell Potter adviser banned for dishonest conduct

JAMES FERNYHOUGH  |  TUESDAY, 16 JUL 2013
... good behaviour bond. The amount of money involved in his actions amounted to more than $1.7 million, ASIC said. ASIC Commissioner Greg Tanzer said: "ASIC is all about ensuring investors and consumers can be confident and informed and a big part of this ...

ASIC finalises OTC derivatives reporting rules

MARK SMITH  |  FRIDAY, 12 JUL 2013
... concerns and potential market abuse, by enhancing the transparency of information to regulators and the market," ASIC commissioner Cathie Armour said. While final trade reporting rules are in place, final regulatory guidance on those rules is expected ...

ASIC to focus on analyst briefings

LAURA MILLAN  |  MONDAY, 8 JUL 2013
... small- should have access to equal information from listed entities when making their investment decisions,' ASIC commissioner Cathie Armour said.

BT overcharged customers, refunds $2.3m

LAURA MILLAN  |  TUESDAY, 2 JUL 2013
... also written to all platform operators to remind them of their significant breach of reporting obligations," ASIC Commissioner Greg Tanzer said. Since May 2013, BT has been contacting affected customers and, where appropriate, compensating them. All ...

ASIC increases NTA requirements for custodians

JAMES FERNYHOUGH  |  MONDAY, 1 JUL 2013
... superannuation. "There is a degree of risk associated with providing any custodial or asset holding service," ASIC Commissioner Greg Tanzer said. "Investors must be confident that these important gatekeepers, who are responsible for safekeeping other ...

ASIC relaxes HFT and dark pool proposals

MARK SMITH  |  TUESDAY, 18 JUN 2013
... improvement in the awareness of these areas of trading, hence the move not to proceed with some rules at this time," ASIC commissioner Cathie Armour said. "Today we are announcing our direction for the full suite of proposals and we are confident they ...

ASIC updates MIS guidance

LAURA MILLAN  |  THURSDAY, 6 JUN 2013
... the new requirements. The updated policy guidance provides clarity to operators of schemes and their advisers, ASIC commissioner Greg Tanzer said. The document focuses on the steps to acquire an interest in the scheme and the powers and rights of the ...

Former Bell Potter adviser sentenced to 5 years jail

LAURA MILLAN  |  THURSDAY, 23 MAY 2013
... prosecution in a month involving a financial adviser who has exploited client accounts in a deceptive fashion," ASIC commissioner Greg Tanzer said.

Ex-Lonsec MD convicted of insider trading

JAMES FERNYHOUGH  |  THURSDAY, 23 MAY 2013
... loss of the efficacy and integrity of the market. Those who held the shares and did not sell were victims." ASIC Commissioner John Price said, "Prosecuting insider trading has been a real focus for ASIC. In the last four years we have obtained convictions ...

ASIC raises red flag on capital protected products

LAURA MILLAN  |  THURSDAY, 2 MAY 2013
... "We are particularly concerned about potentially misleading or unhelpful claims of conditional protection," ASIC Commissioner Peter Kell said.