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Search ResultsShowing 31 - 40 of 54 results for "Cathie Armour"
ASIC raises concerns over NSX listings
KARREN VERGARA  |  TUESDAY, 29 AUG 2017
... implementation of the agreed actions and to provide a report on the findings by 31 March 2018. ASIC commissioner Cathie Armour said: "Listing standards are critical to the integrity of the Australian equities market, and the trust and confidence investors ...
Macquarie to pay $2m following ASIC probe
ALEX BURKE  |  MONDAY, 22 MAY 2017
... markets and the proper functioning of this market is of vital importance to the Australian economy," ASIC commissioner Cathie Armour said. "ASIC has now accepted undertakings from some of Australia's largest market participants to put in place forward ...
Financial Standard wins prestigious award
DARREN SNYDER  |  THURSDAY, 6 APR 2017
... interviews, originality in thinking and impact. This year's judges were: Yasmin Allen Non-Executive Director, ASX Cathie Armour Commissioner, ASIC Andrew Baxter CEO, Publicis Worldwide Australia Paul Clitheroe Non-Executive Director, Ipac Securities ...
Adviser ban upheld by tribunal
KARREN VERGARA  |  TUESDAY, 4 APR 2017
... such as information about capital raisings - even when following a client's direct instructions," ASIC commissioner Cathie Armour said. Batros was an authorised representative with financial services licensee Morgans Financial, between January 2012 and ...
Barclays fined following ASIC investigation
JAMIE WILLIAMSON  |  FRIDAY, 24 MAR 2017
... these instruments, including the fundamental obligations relating to disclosure and reporting," ASIC commissioner Cathie Armour said. "Entities that fail to self-report a breach of their obligations to ASIC within the required time will be subject to ...
Past Morgan Stanley adviser hit with permanent ban
JAMIE WILLIAMSON  |  MONDAY, 13 MAR 2017
... likely to breach financial services law again in future and was not of good fame or character. ASIC commissioner Cathie Armour said: "Financial advisers are expected to act in the best interests of clients. ASIC will ensure appropriate enforcement action ...
ASIC compensation skyrockets
KARREN VERGARA  |  THURSDAY, 9 MAR 2017
... project in the last six months, which have resulted in a number of key outcomes," the report reads. Commissioner Cathie Armour said: "ASIC is working hard to protect all participants in our markets and financial services industry from those that would ...
Two of the big four in ASIC spotlight
ALEX BURKE  |  THURSDAY, 22 DEC 2016
... well-functioning foreign exchange market depends on all participants acting with integrity and fairness," ASIC commissioner Cathie Armour said. "ASIC is committed to ensuring that major financial institutions have in place effective mechanisms for ensuring ...
ASIC bans Deutsche Bank trader
KERRIE SYDEE  |  THURSDAY, 29 SEP 2016
... notified ASIC of the measures it believes will better monitor and detect poor conduct in the future. ASIC commissioner Cathie Armour said: "The integrity of our financial markets is vitally important and ASIC will take action to remove anyone in the ...
Cyber security not just an IT problem: ASIC
KERRIE SYDEE  |  WEDNESDAY, 14 SEP 2016
... be aware of their responsibility and duty to understand company cyber resilience, according to ASIC commissioner Cathie Armour. Speaking as part of a panel at the SINET61 Summit held in Sydney, Armour said it isn't surprising that board members feel ...