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Showing 511 - 520 of 539 results for "Supervision"

Licensing relief for securitisation special purpose vehicles

... to those special purpose securitisation entities dealing in financial products either on the advice of or under the supervision of an AFSL holder. ASIC director of regulatory policy Mark Adams said "the relief from licensing provisions is based on our ...

Disqualified trustee pleads guilty to APRA superannuation charges

... members associated with the superannuation fund. The action breaches section 307 under the Superannuation Industry (Supervision) Act 1993. Foulds, a director in superannuation consulting accountancy firm Pitcher Partners, has avoided a conviction and ...

Basel II for Australia in 2008

... be fully implemented in Australia by January 1, 2008. The framework was developed by the Basel Committee on Banking Supervision and outlines various methods for deposit-taking institutions to calculate the minimum regulatory capital for different types ...

UniSuper Trustee investigated by ASIC on disclosure and complaints handling

... temporary incapacity and permanent disablement benefits (TI/PD members) as required by the Superannuation Industry (Supervision) Act 1993. Under ASIC's terms the $9.4 billion fund will engage an external compliance auditor to review its disclosure and ...

APRA appoint Byres executive general manager - DID

... superannuation. Byres has been with APRA since its establishment in 1998, working in both prudential policy and front line supervision. During his employment with APRA, Byres has been responsible for much of APRA's early work on the new Basel capital ...

FPA issues member notice and calls for submissions

... said it is considering the need for a FPA submission to the Joint Forum consisting of the Basel Committee on banking supervision, International Organisation of Securities Commissions (IOSCO), and International Association of Insurance Supervisors on ...

AFS licensees pass ASIC's spot check

... licensee." The visits examined a number of key areas, ASIC said, including risk management and compliance arrangements; supervision of representatives and authorised representatives; adequacy of financial resources; compensation arrangements and internal ...

Tasmanian lawyers banned from acting as super trustees; APRA

... acting as trustees, investment managers or custodians of superannuation entities under the Superannuation Industry (Supervision) Act 1993. APRA said the decision to disqualify both men was a consequence of their mortgage investment activities on behalf ...

NAB report reveals critical weaknesses

WITH AAP | FRIDAY, 12 MAR 2004

... suspended foreign exchange options traders had also been dismissed. The report said there was inadequate management supervision in NAB's markets division as well as significant gaps in back office monitoring functions. There were also weaknesses in control ...

ASIC says most roll-over funds need to improve disclosure

AAP | WEDNESDAY, 28 JAN 2004

... without their consent. One ERF is currently the subject of an enforcement action under the superannuation industry (supervision) Act for its failure to provide any disclosure to any fund members, ASIC said. Another is under an enforcement action for ...

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Global X awards mandate for ETF business

ELIZA BAVIN | 12:33PM

Global X has awarded a new custody and administration mandate for its Australian ETF business.

Bell Asset Management launches small-caps fund

KARREN VERGARA | 11:56AM

Bell Asset Management has formally launched its Australian Small Companies Fund, which is run by former Tyndall Asset Management portfolio managers.

Former Australian Ethical finance chief lands new gig

MATTHEW WAI | 11:09AM

The former chief financial officer of the ethical investment manager has joined a local finance company after wrapping up his tenure at AUB Group.

MySuper assets pursue $1.5tn Choice sector

KARREN VERGARA | 12:20PM

MySuper assets are fast catching up to the $1.5 trillion Choice sector, hitting nearly $1.2 trillion in the March quarter.

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