Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 391 - 400 of 476 results for "ASIC commissioner"

Hybrids must better convey risk: ASIC

JAMES FERNYHOUGH  |  TUESDAY, 20 AUG 2013
... 75,000 investors in hybrid securities last year, two thirds of whom were self-managed superannuation funds. ASIC Commissioner John Price said: "We have responded to the increased issuance and popularity of hybrids by working with issuers and their advisers ...

ASIC brandishes whip on dark liquidity and HFT

JAMES FERNYHOUGH  |  TUESDAY, 13 AUG 2013
... after the Australian Securities and Investments Commission (ASIC) announced its new market integrity rules. ASIC Commissioner Cathie Armour said the new rules will improve the transparency and integrity of crossing systems and deter market manipulation. ...

ASIC wants more adviser record-keeping rules

LAURA MILLAN  |  THURSDAY, 1 AUG 2013
... regime, and we will take a measured approach where inadvertent breaches arise, or system changes are underway," ASIC commissioner Greg Tanzer said. "However, where we find deliberate and systemic breaches we will take stronger regulatory action."

ASIC seeks to wind up of LM mortgage income fund

MARK SMITH  |  FRIDAY, 19 JUL 2013
... week, ASIC has sought orders for FMIF to be wound-up and PricewaterhouseCoopers be appointed as the receivers. ASIC commissioner Greg Tanzer said this was the most efficient and cost effective way to provide the best chance of achieving the maximum return ...

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 ...

Editor's Choice

Treasury responds to Debelle's review into the AOFM

KARREN VERGARA
Treasury has responded to the Guy Debelle-led review into the Australian Office of Financial Management (AOFM), agreeing to all six recommendations.

Bravura ups guidance, reports earnings increase

RIDDHIMA TALWANI
Bravura Solutions informed investors cost discipline will protect its full year earnings result after a client migrated to a Business Process Outsourcing (BPO) early in the year.

MaxCap hires from Vanguard, AustralianSuper

MATTHEW WAI
MaxCap has welcomed two senior directors, including a portfolio manager from Australia's largest super fund, reporting to the recently named chief executive Kylie Robb.

Zenith snags mandate from Granite Bay

MATTHEW WAI
Granite Bay Private Wealth has selected Zenith Investment Partners to support their investment governance and due diligence.

Videos

Brought to you by
MORE VIDEOS

Products

Financial Standard Guide To Series

'Guide To' Series

Pocket investment guides featuring adviser case studies and a glossary.
MORE INFO
Financial Standard Publisher's Forum

Publisher's Forum

Investing trends and strategies from the industry’s thought leaders.
MORE INFO
Financial Standard Product Showcases

Product Showcases

Putting the spotlight on investment products that matter.
MORE INFO

Expert Feed

Industry Events

MORE INDUSTRY EVENTS
JUL
21

Advisers Big Day Out - Cairns 

JUL
23

Advisers Big Day Out - Sunshine Coast 

JUL
24

Advisers Big Day Out - Gold Coast 

JUL
28

Advisers Big Day Out - Hobart 

JUL
30

Advisers Big Day Out - Geelong 

Featured Profile

MORE PROFILES
Blake Briggs

Blake Briggs

CHIEF EXECUTIVE OFFICER
FINANCIAL SERVICES COUNCIL
Since becoming chief executive, Blake Briggs has renewed the Financial Services Council's influence, expanded the membership base, and strengthened its policy and advocacy credentials. Karren Vergara writes.
READ MORE
The Financial Standard podcast
Tune in each week as we discuss the latest developments in Australia's wealth management industry.
Financial Standard podcast
Spotify
Apple Podcasts
Amazon Music
YouTube
Follow Financial Standard on Facebook
Follow Financial Standard on Twitter
Follow Financial Standard on LinkedIn
Follow Financial Standard on Instagram
Rainmaker Information Pty Ltd - ABN 86 095 610 996
part of ISS - Institutional Shareholder Services, © Copyright 2026, All Rights Reserved
MarketSage  -  MarketPulse  -  MarketPro  -  Media