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Showing 421 - 430 of 539 results for "Supervision"

ASIC heats up insider trading investigations

ELISE BURGESS  |  THURSDAY, 14 JUL 2011
... as regulator from the ASX in August last year and since that time has engaged in "real time market surveillance and supervision activity" since January. The regulator has now issued a report, expressing grave concerns over the state of fairness and compliance ...

ASIC warns it will act on rogue ETF pricing

ALISON BEVEGE  |  WEDNESDAY, 13 JUL 2011
... 23,494 trading alerts generated, 121 required further consideration and 35 were referred for investigation, ASIC market supervision report 243 said. Of those the majority, 17, were for potential insider trading followed by six for market manipulation ...

Continuous disclosure continuous change

ALEX DUNNIN  |  THURSDAY, 9 JUN 2011
... of ASIC, speaking at a function celebrating 10 years of the Australian Investor Relations Association, said ASIC's supervision role also adds another dimension as they must be consulted by listed companies just as much as companies consult stock exchanges. ...

Super crime loophole to snap shut

ALISON BEVEGE  |  TUESDAY, 24 MAY 2011
... and opened the door for discussion with submissions due by Tuesday, June 14. The proposed changes to the Industry (Supervision) Regulations 1994 and the Retirement Savings Accounts Regulations 1997 would enable superannuation trustees and retirement ...

ASIC call to improve planner education

ELISE BURGESS  |  WEDNESDAY, 6 APR 2011
... exam for all new and existing financial advisers who provide Tier 1 financial advice at the entry stage. One year supervision for all new financial advisers following entry stage and a mandatory knowledge update review every three years on changes to ...

Trust grows with NZ purchase

ALISON BEVEGE  |  TUESDAY, 15 MAR 2011
... will continue trading under the same name. Before the purchase, the Trust Company had $118 billion in funds under supervision. Guardian Trust had $4.8 billion in assets under advice, more than $43 billion in assets under supervision and more than $370 ...

New rules on bank liquidity clarified

ALISON BEVEGE  |  MONDAY, 28 FEB 2011
... the banking industry must hold from 2015. In the wake of the global financial crisis, the Basel Committee on Banking Supervision (Basel Committee) produced a global framework that set limits on liquidity risk for banks. As a result new regulations are ...

IOOF profits surge 22 pc

ALISON BEVEGE  |  THURSDAY, 24 FEB 2011
... rolled down into the three "go ahead" products IOOF is focused on. Funds under management, administration, advice and supervision grew to $102.9 billion, a $3.8 billion improvement on the previous corresponding period, or a gain of 3.83 per cent. The ...

Developed nations raise funds for ADB

RUTH LIEW  |  THURSDAY, 20 JAN 2011
... financed by the Government of Japan and administered by ADB. "This support will help strengthen the regulation and supervision of savings and credit cooperatives. The project will also improve financial literacy in poor households through an innovative ...

IOOF consolidates platforms

RUTH LIEW  |  WEDNESDAY, 24 NOV 2010
... month. At the end of the financial year, IOOF had $99.1 billion in funds under management, administration, advice and supervision. More recently, the firm recorded $102.3 billion in FUMAS at the end of September. IOOF's flagship products also displayed ...

Editor's Choice

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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