Search Results | Showing 411 - 420 of 539 results for "Supervision" |
| | | ... and regulatory obligations regarding the provision of financial services, financial advice and the monitoring and supervision of its representatives. ASIC Chairman Greg Medcraft said, "This EU is significant as it requires CFP to comprehensively examine ... |
| | | | ... Automated trading such as high frequency trading, volatility controls for extreme price movements and enhanced data for supervision are all outlined in the paper, along with product scope of best execution and pre-trade transparency and price formation ... |
| | | | ... been appointed as the new secretary general of global banking standard-setting body, the Basel Committee on Banking Supervision. Byres has been at the helm of the Australian Prudential Regulation Authority (APRA) as executive general manager, diversified ... |
| | | | ... licensees must effectively monitor business models for possible conflicts of interest and prioritise training and supervision of advisers, said ASIC, as part of plans to raise standards in the advice industry and hold gatekeepers to account. ASIC has ... |
| | | | ... consultation document outlining its proposed implementation of the reforms in response to the Basel Committee on Banking Supervision's package of measures released in December 2010. If the reforms are implemented APRA would amend its current policies ... |
| | | | ... reported net inflows to its flagship platforms of $650 million. Funds under management, advice, administration and supervision rose to $106.2 billion, a $7.1 billion increase on June 30 last year. An investor presentation showed the breakdown was $33.1 ... |
| | | | ... the largest foreign holder of US bonds with US$1.16 trillion worth of Treasuries as of May, called for international supervision of the issuance of US dollars and a new global reserve currency after the downgrade. "China, the largest creditor of the ... |
| | | | ... relationship with a big institution. IOOF had a total of $104.5 billion in funds under management, administration, advice and supervision as of March 31. |
| | | | ... a commissioner, Shane worked on some of ASIC's most important projects through their most crucial times, including supervision of ASX following the successful transition to ASIC in August 2010, and now, competition in equity markets, where Shane led ... |
| | | | ... trading authority. "Social networking sites and blogs raise new regulatory challenges, particularly in the areas of supervision, advertising and books and records requirements," said Rick Ketchum, FINRA chairman and chief executive. This at a time when ... |
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