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|... proceedings." The decision to delegate will allow for greater efficiencies in the investigative process and a more coordinated regulatory outcome, APRA said. "It will avoid significant duplication in the investigative process, including compulsory examinations ...|
|... distribution linked remuneration structures in the event it believes they will bring about significant consumer detriment. Regulatory guide 272 shows ASIC may use its new powers to order a product or class of products only be offered by way of issue ...|
|... currently required to revalue property used as security for residential mortgage exposures for the purposes of measuring regulatory capital, when they become aware of a material change in the value of property in an area or region. The regulator had ...|
|... financial professionals are responding to new challenges managing client investments, expectations and behaviour. "Under regulatory, industry and market pressure, their approach is changing on all fronts: investment strategy, client servicing, practice ...|
|The Australian arm of a global investment management company has agreed to additional conditions imposed on its AFSL by the corporate watchdog. It comes after Societe Generale Securities Australia (SGSA) was criminally charged with breaching client ...|
|... we source gold and other metals for processing. He said the firm remains confident that it fully complies with all regulatory requirements and the responsible gold guidelines set out by the global gold industry's governing bodies. "Consistent with ...|
|... for consultation its Cost Recovery Implementation Statement 2019-20 (CRIS), which was prepared based on its planned regulatory work and budgeted allocation of costs at the beginning of the 2019-20 year. ASIC estimated the industry funding levy for 2019-20 ...|
|ASIC has announced an end date or the COVID-19 regulatory relief for financial advisers. The ASIC Corporations (Trading Suspensions Relief) Instrument 2020/355 will be repealed on 15 October 2020. "ASIC had publicly stated that these relief measures ...|
|Five people and six offshore entities have been charged over an alleged fraudulent scheme which sought to capitalise on the COVID-19 pandemic through the illegal sale of microcap stocks. The US Securities and Exchange Commission allege the scheme, boosted ...|
|... coal and cut back on investment in the fossil fuel industry, publish exclusion lists, no longer put the brakes on regulatory changes in favour of the climate through their professional associations," Zaouati said. "This list is not exhaustive. Let everyone ...|
Former Ausbil microcap managers Tony Waters and Chris Prunty have come out on top of Mercer's Australian Shares Investment Manager Performance ranking, after their QVG Capital Long Short fund returned 29.3% for the year.
Global investment firm GMO has acquired a Japanese investment advisory firm and nabbed two senior executives from PGIM's quantitative investment manager QMA.
The earlier than expected easing of restrictions in Australia that defrosted social and commercial activity has had its desired effect - rebounding business conditions and confidence, and the feared one - a second wave.
Around 300,000 Australians lodged their second application to access their super early at the start of the new financial year.
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