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Showing 441 - 450 of 8706 results for "Regulator"

Feature: Compliance | Passing the buck

ELIZA BAVIN  |  WEDNESDAY, 15 OCT 2025
... at ASIC that have either had action brought against them, are under investigation, or will soon be hearing from the regulator. The Financial Advice Association Australia (FAAA) chief executive Sarah Abood 03 says the advice industry is not shying away ...

Can IPOs ever recover? Experts aren't sure

MATTHEW WAI  |  WEDNESDAY, 15 OCT 2025
Despite ASIC and the ASX having displayed a "good regulatory mindset" in revitalising the listed environment, opportunities from the private markets continue to drag initial public offerings' (IPOs) down. In a panel at the Citi Investment Conference ...

APRA lifts final Westpac capital add-on

KARREN VERGARA  |  WEDNESDAY, 15 OCT 2025
... have been addressed, APRA has removed the remaining tranche of $500 million capital add-on, with immediate effect," the regulator said. APRA member Therese McCarthy Hockey added that as a "systemically important bank" APRA expects Westpac to hold itself ...

Australian super funds 'important' for the UK economy

MATTHEW WAI  |  TUESDAY, 14 OCT 2025
Australian superannuation funds continue to play an "increasingly important" role in the UK economy, with a group of local super fund leaders set to head there later this month to explore more collaborative investment opportunities. The Australian Superannuation ...

ASIC targets funds over 'disappointing' retiree communications

ELIZA BAVIN  |  TUESDAY, 14 OCT 2025
... committed to working alongside APRA to hold super trustees to account for compliance with their covenant obligations. The regulator said it will publish results from the latest joint Retirement 'Pulse Check' later this year.

Morningstar calls out platform TDPs' use of rebates

KARREN VERGARA  |  MONDAY, 13 OCT 2025
... are no doubt welcome for members (certainly more so than fee increases!), APRA has since put trustees on notice - the regulator will engage with relevant platforms about the need for a persistent improvement in investment performance, even if a product ...

ASIC exposes holes in managed funds' offshoring cyber controls

KARREN VERGARA  |  MONDAY, 13 OCT 2025
... procedures to report any breaches of personal and confidential information as part of initial and ongoing due diligence. The regulator also reviewed offshoring practices of AFSLs and found that many fail to adequately assess, monitor and audit their ...

ASIC seeks compensation for Shield victims from EQT

ELIZA BAVIN  |  MONDAY, 13 OCT 2025
ASIC has updated its Statement of Claim in the proceedings against Equity Trustees (EQT) to include a claim for compensation for losses incurred by members of the AMG Super and Super Simplifier platforms who invested in Shield Master Fund. This is in ...

ASIC helping with law reform over Shield, First Guardian

ELIZA BAVIN  |  FRIDAY, 10 OCT 2025
ASIC chair Joe Longo has told a Senate estimates hearing that the corporate regulator is working closely with Treasury and the government on law reform in the wake of the Shield Master Fund and First Guardian Master Fund collapses. Longo said high risk ...

ASIC cancels CPG Research & Advisory's AFSL

RIDDHIMA TALWANI  |  FRIDAY, 10 OCT 2025
ASIC has cancelled CPG Research & Advisory's AFSL, which is linked to the now-defunct Linchpin Capital, effective October 7. The cancellation comes after CPG ceased to carry on a financial services business and failed to pay industry funding levies ...