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Showing 411 - 420 of 539 results for "Supervision"

ASIC accepts Commonwealth Financial Planning EU

MEDIA RELEASE  |  WEDNESDAY, 26 OCT 2011
... 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 ...

ASIC releases equity market structure paper

ELISE BURGESS  |  MONDAY, 24 OCT 2011
... 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 ...

APRA executive appointed secretary general of Basel

CLAIRE MCGREAL  |  FRIDAY, 14 OCT 2011
... 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 ...

ASIC surveillance sharpens focus on AFS licensees

MATT WOODINGTON  |  TUESDAY, 13 SEP 2011
... 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 ...

Smaller lenders to take brunt of Basel III reforms

MATT WOODINGTON  |  THURSDAY, 8 SEP 2011
... 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 ...

IOOF profits soar despite difficult times

ALISON BEVEGE  |  THURSDAY, 25 AUG 2011
... 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 ...

Market dives on US downgrade, China demands new reserve currency

ALISON BEVEGE  |  MONDAY, 8 AUG 2011
... 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 ...

Star hire strengthens IOOF adviser drive

ALISON BEVEGE  |  WEDNESDAY, 3 AUG 2011
... 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.

ASIC commissioner new chief of FOS

ELISE BURGESS  |  TUESDAY, 2 AUG 2011
... 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 ...

ASIC cautions industry after US broker tweeted into suspension

ELISE BURGESS  |  TUESDAY, 19 JUL 2011
... 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 ...