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Showing 31 - 40 of 904 results for "Deputy Chair"

ANZ breached disclosure laws in 2015 raise: Court

CHLOE WALKER  |  MONDAY, 16 OCT 2023
... Moshinsky said. The decision has been hailed a landmark win for ASIC, which first brought the case to court in 2018. ASIC deputy chair Karen Chester said the decision reaffirms ASIC's long-standing expectation that an issuer of securities must disclose ...

APRA moves to unmask super funds' spending secrets

ANDREW MCKEAN  |  WEDNESDAY, 11 OCT 2023
... equity. "These proposals represent an important step forward in achieving greater transparency in superannuation," APRA deputy chair Margaret Cole said. "It's APRA's aim to publish as much of the data that we collect as possible, especially where ...

ASIC cracks down on 11 SMSF auditors

ANDREW MCKEAN  |  WEDNESDAY, 11 OCT 2023
... "SMSF auditors have a critical role in upholding the integrity of the SMSF sector through annual audits," said ASIC deputy chair Sarah Court. Court highlighted that auditors are responsible for overseeing 610,000 SMSFs, holding a combined total of more ...

ASIC fines fintech for misrepresenting crypto product

CASSANDRA BALDINI  |  WEDNESDAY, 27 SEP 2023
... effective regulatory outcome, after having weighed the regulatory outcomes offered by other enforcement remedies. ASIC deputy chair Sarah Court explained the product risked confusing customers. "ASIC was concerned Bobbob's representations potentially ...

ANZ hit with $15m penalty for misleading customers

ANDREW MCKEAN  |  TUESDAY, 26 SEP 2023
... access a cash advance from funds listed as 'Available Funds' without incurring additional fees or interest. ASIC deputy chair Sarah Court said: "Customers deserve clear and accurate information about available funds in their accounts and what fees and ...

Licensees shun remediation obligations: ASIC

KARREN VERGARA  |  TUESDAY, 26 SEP 2023
... firm's mistakes, but also very costly for firms who have to re-do remediations and repair reputational damage," ASIC deputy chair Karen Chester said. "Going forward, while ASIC will generally not oversee remediation programs, we will consider regulatory ...

APRA moves to ensure improved member outcomes

ANDREW MCKEAN  |  FRIDAY, 22 SEP 2023
... reserves, and improve the risk management procedures involved in transferring members between different funds. APRA deputy chair Margaret Cole said updating SPS 515 was one of the regulator's most important policy priorities in superannuation. "SPS 515 ...

NAB to pay $2.1m for knowingly overcharging customers

JAMIE WILLIAMSON  |  FRIDAY, 22 SEP 2023
... observance of the law and on respect for its customers' legal rights," he continued. Commenting on the outcome, ASIC deputy chair Sarah Court said: "NAB continued to charge fees when it knew it lacked any entitlement to do so and omitted to tell ...

ASIC takes legal action against crypto exchange

ANDREW MCKEAN  |  THURSDAY, 21 SEP 2023
... totalling around $12.95 million while using Bit Trade's margin trading product via the Kraken exchange. ASIC deputy chair Sarah Court said: "These proceedings should send a message to the crypto industry that products will continue to be scrutinised ...

ASIC cracks down on CFDs, OTC derivatives

KARREN VERGARA  |  WEDNESDAY, 6 SEP 2023
... previously commenced proceedings against the distributor of an investment product and an issuer of a credit product," ASIC deputy chair Karen Chester said. "We have further stop orders under consideration and several other DDO-related investigations ...

Editor's Choice

ASIC hits back at parliament: 'Simply not realistic'

ELIZA BAVIN
The financial regulator has hit back at suggestions it isn't doing enough to deal with community complaints.

The risks and opportunities in advice: SIAA

KARREN VERGARA
This year's Stockbrokers and Investment Advisers Association (SIAA) Conference will take a deep dive into how major financial advice reforms will impact superannuation funds and how they are preparing to help Australians particularly retirees access advice.

AMP Advice partners with BlackRock and Lonsec

ELIZA BAVIN
Through the partnership, AMP Advice will introduce a new category of tailored managed portfolio solutions.

Succession planning troubles family offices: J.P. Morgan

KARREN VERGARA
Global family offices remain deeply concerned about how to prepare the next generation to inherit a vast fortune as almost 30% do not have a structured approach to help them, a new study from J.P. Morgan reveals.

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