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Showing 31 - 40 of 6500 results for "Regulatory"

Natixis IM appoints head of wholesale distribution

VINNY VUCAGO  |  MONDAY, 6 JUL 2026
... investment industry experience, said advisers were increasingly seeking specialist global capabilities as markets and regulatory requirement became more complex. "Today's wholesale client is highly sophisticated navigating ever changing market conditions ...

ASIC cancels AFSL of Capital Guard over fake bond sale

ELIZA BAVIN  |  FRIDAY, 3 JUL 2026
ASIC has cancelled the Australian Financial Services Licence (AFSL) of Capital Guard after finding that it had engaged in dishonest conduct, including the selling of a fake bond and providing false documents to its auditor. ASIC said the licence was ...

ASIC makes first move since putting private credit on notice

MATTHEW WAI  |  FRIDAY, 3 JUL 2026
The market watchdog has made interim stop orders against two products operated by Stratfund, suspecting deficiencies in the target market determinations (TMD) for both products. Offered under the Australian Fixed Income Fund, the products in question ...

Financial services CSLR Levy hits $198m

MATTHEW WAI  |  THURSDAY, 2 JUL 2026
... he said. "It is critical that changes are made to the CSLR to make it more sustainable, and changes are made to the regulatory regime to ensure that we don't see a repeat of a similar type of collapse." He is now urging the government to cap the ...

Treasury publishes final report into the ERS

ELIZA BAVIN  |  THURSDAY, 2 JUL 2026
The final report into the Enhanced Regulatory Sandbox (ERS) has been published by Treasury with six recommendations being made. Minister for financial services Daniel Mulino said the government would consider the recommendations and provide a response ...

Tribunal shortens financial adviser's five-year ban

KARREN VERGARA  |  WEDNESDAY, 1 JUL 2026
... licensee, the platform, the superannuation trustee, and an independent research house. It has since become the subject of regulatory stop orders, liquidity concerns, and ultimately a collapse that has affected thousands of Australian investors," he wrote. ...

Treasury looks to reform regulation on consulting firms

RIDDHIMA TALWANI  |  WEDNESDAY, 1 JUL 2026
... functions. So, if you're going to be an audit firm, that's all you do. So that would be a stronger kind of regulatory intervention." Another argument the paper suggests would be to limit partnerships as some firms have become too big. Accounting ...

ASIC pushes to bolster competitiveness

ELIZA BAVIN  |  TUESDAY, 30 JUN 2026
... cross-regulator coordination; give firms clear and accessible pathways to test and operationalise new products with constructive regulatory support; and enhance competitiveness by supporting responsible innovation while protecting investors. However ...

Euroz Hartleys sells capital markets arm to Canada's BMO

RIDDHIMA TALWANI  |  TUESDAY, 30 JUN 2026
... to pay for the costs associated with these services and also contribute additional capital to support liquidity and regulatory capital requirements. Additionally, under a separate agreement, it will provide transitional services to the capital markets ...

Super the backbone of stressed financial ecosystem: APRA

MATTHEW WAI  |  TUESDAY, 30 JUN 2026
The Australian Prudential Regulation Authority (APRA) has unveiled key findings from its inaugural system risk stress test (SRST), highlighting the resilience and stability of the financial market depends heavily on the superannuation sector. The SRST ...