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Showing 401 - 410 of 479 results for "ASIC Commissioner"

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.

Fair Finance Australia pays infringement notice penalty

LAURA MILLAN  |  FRIDAY, 26 APR 2013
... consumers are not misled and put in a potential situation where they take on too much debt and are unable to repay," ASIC commissioner Peter Kell said.

One third of SMSF advice is poor: ASIC

ALEX DUNNIN  |  THURSDAY, 18 APR 2013
... Where we see examples of unlicensed SMSF advice, or misleading marketing, we will be taking regulatory action," ASIC Commissioner Peter Kell said.

ASIC targets SMSF confidence tricksters

MARK SMITH  |  THURSDAY, 11 APR 2013
... fast-growing self-managed superannuation fund (SMSF) industry. Addressing a packed room at the Hilton Hotel in Sydney, ASIC commissioner Peter Kell opened the annual CPA Australia SMSF conference and expo by outlining the importance of safe-guarding ...