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Showing 391 - 400 of 539 results for "Supervision"

Who you know overshadows rules: Freehills view on Asia

ALEX DUNNIN | MONDAY, 24 SEP 2012

... investment presence Australian investment institutions have in the region, said Salmah Mydin, head of investment management supervision at the Securities Commission, the Malaysia financial regulator. "I'm struggling to think of any Australian managers ...

New hedge fund rules for post-GFC environment

MELANIE TIMBRELL | WEDNESDAY, 19 SEP 2012

... liquidity providers as the crisis peaked, according to Tanzer and it was against this backdrop that the need for greater supervision was highlighted. "Increased disclosure to regulators reflects an appreciation of the role securities regulators can and ...

Super governance Bill passes amid cries of favouritism

BEN COLLINS, MELANIE TIMBRELL | THURSDAY, 16 AUG 2012

... can have more confidence in the long-term stability of the superannuation system as a result of increased prudential supervision," she said. The new standards, contained in the Superannuation Legislation Amendment (Trustee Obligations and Prudential ...

ASIC targets securities dealers

MELANIE TIMBRELL | TUESDAY, 14 AUG 2012

... after discovering evidence of insufficient steps to ensure clients receive appropriate advice. ASIC's fourth market supervision report is the first to include information on the regulator's reviews of securities dealers - Australian Financial Services ...

ASIC calls for kill-switch

MELANIE TIMBRELL | TUESDAY, 14 AUG 2012

... chairman Belinda Gibson. "The increased automation of trading, and ASIC's focus on it, is also evident in our market supervision report, which identified issues from high frequency trading. "This type of trading, and algorithms generally, continue to ...

Further dark pool regulation premature: Fidessa

MELANIE TIMBRELL | MONDAY, 13 AUG 2012

... should be regulated in the same way as public markets performing the same function, with ASIC surveillance, the same supervision levy and similar integrity safeguards.

AFA releases draft code of conduct

BEN COLLINS | THURSDAY, 19 JUL 2012

... paper sets out several "principals of practice", as well as guidance on professionalism, AFA member requirements, and supervision and monitoring policies. Under the AFA's code of professionalism, ethics and conduct, members will need to abide by 10 principles. ...

Govt targets early release schemes; defers SMSF transfer ban

MELANIE TIMBRELL | MONDAY, 16 JUL 2012

... intention was to enforce a ban on these transactions by amending subsection 66(2) of the Superannuation Industry (Supervision) Act 1993 (the SIS Act). "This is the section of the Act that allows fund trustees to acquire listed securities from a related ...

Commonwealth FP adviser banned

LINDA HAUSKEN | TUESDAY, 5 JUN 2012

... agreed not to provide financial services in any capacity for a minimum of two years and must also adhere to strict supervision requirements for six months should he decide to re-enter the financial services industry. The EU follows an investigation into ...

APRA: Third line of defence in Trio-style fraud

BEN COLLINS | FRIDAY, 1 JUN 2012

... to distance the regulator from the Trio disaster, placing the blame with trustees and auditors. "APRA's prudential supervision has not been based on the premise that fund owners, trustees and employees are engaged in fraudulent activity," he said. "In ...

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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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