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Showing 411 - 420 of 2086 results for "Australian Securities"

ASIC stands up for adviser national exam

LAURA MILLAN  |  FRIDAY, 28 NOV 2014
Advisers in Australia should undertake a national examination to lift industry standards, Australian Securities and Investments Commission (ASIC) chairman Greg Medcraft has told a parliamentary committee "The industry needs to get its house in order ...

AMP, Vanguard and ASIC join forces to simplify disclosure

LAURA MILLAN  |  FRIDAY, 28 NOV 2014
AMP and Vanguard are taking part in an Australian Securities Investment Commission (ASIC) initiative to produce simpler financial product guides. ASIC may also work with other product providers in the future and is expecting to release preliminary results ...

APRA's IT infrastructure strains

ALEX DUNNIN  |  FRIDAY, 28 NOV 2014
... dissemination models built around PDFs and Excel files. APRA's information technology difficulties come just as the Australian Securities and Investments Commission (ASIC) lobbies the government to be included as a recognised agency as part of its data ...

ASIC calls for standard cyber risk measure

LAURA MILLAN  |  THURSDAY, 27 NOV 2014
... is a need to establish an international methodology to measure the businesses' vulnerability to the risk, Australian Securities and Investments Commission (ASIC) chairman Greg Medcraft said. "Cyber-crime around the world is growing and will continue ...

Adviser jailed for two years over $1.5M fraud

LAURA MILLAN  |  MONDAY, 24 NOV 2014
... years for stealing almost $1.5 million worth of shares. Michael King was made eligible for parole, but the Australian Securities and Investments Commission (ASIC) commissioner John Price said that "jail sentence shows that the court views misconduct ...

Advisers confronted with harsh reality of whistleblowing

LAURA MILLAN  |  FRIDAY, 21 NOV 2014
... Morris blew the whistle on several cases of adviser malpractice within Commonwealth Bank, initially to the Australian Securities and Investments Commission (ASIC) and later to the media, when he realised that the regulator was not acting on his and other ...

Original FoFA laws take immediate effect

JAMES FERNYHOUGH  |  THURSDAY, 20 NOV 2014
... time for the sector." While the original FoFA laws are now fully in place, enforcing them is a job for the Australian Securities and Investment Commission (ASIC). ASIC issued a release saying it would "take a practical and measured approach" to administering ...

ASIC begins legal action against LM Investment Management

MARK SMITH  |  THURSDAY, 20 NOV 2014
The Australian Securities and Investments Commission (ASIC) has begun legal action against LM Investment Management (LMIM) founder Peter Charles Drake and its former directors. The regulator is seeking financial penalties and banning orders following ...

ASIC to scrutinise intra-fund advice

JAMES FERNYHOUGH  |  WEDNESDAY, 19 NOV 2014
... expect a higher level of scrutiny of their intra-fund advice operations over the coming year, according to Australian Securities and Investments Commission (ASIC) deputy chairman Peter Kell. Kell said the regulator's increased scrutiny of this growing ...

Van Eyk collapse brings down AWI chairman

LAURA MILLAN  |  TUESDAY, 18 NOV 2014
... considering the impact those events have had on the company," AWI chairman Peter Barnes said in a statement to the Australian Securities Exchange (ASX). "There may be recourse against parties which may lead to the [van Eyk] Company recovering some or ...