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Showing 531 - 540 of 1076 results for "Commissioner"

BEAR should be expanded, ASIC included: Shipton

JAMIE WILLIAMSON | FRIDAY, 23 NOV 2018

ASIC chair James Shipton said he is in favour of applying the Banking Executive Accountability Regime to senior ASIC staff while being quizzed on the regulator's current governance. After telling Senior Counsel Assisting Rowena Orr that he believes ...

Royal Commission: ASIC rethinks negotiation tactics

KARREN VERGARA | FRIDAY, 23 NOV 2018

... records. Shipton agreed, but pointed out dialogue between board members and executives intended to be "free-flowing." Commissioner Kenneth Hayne pushed for a note-taker to be present at these meetings. "The preservation of corporate memory of contacts ...

Misconduct matters, but stability key for Frydenberg

HARRISON WORLEY | FRIDAY, 23 NOV 2018

... this week, Frydenberg told delegates the Government had four focus areas when implementing the recommendations of Commissioner Hayne's final report. The stability of Australia's financial system is one. "While I am determined to take all necessary ...

Court fines stockbroker $350k

KARREN VERGARA | THURSDAY, 22 NOV 2018

... comply with the infringement notice, ASIC commenced civil penalty proceedings against it on 21 November 2016. ASIC Commissioner Cathie Armour said the Market Integrity Rules are vital to ensuring that Australia's financial markets are fair and efficient ...

FPA fines Henderson $50k

KARREN VERGARA | WEDNESDAY, 14 NOV 2018

... important aspect of that commitment." In April, the financial services Royal Commission heard former client, Fair Work commissioner Donna McKenna, a sought Henderson's advice after discovering he won the 2016 Association of Financial Advisers' ...

Labor responds to Royal Commission, sheds light on victims of misconduct

HARRISON WORLEY | TUESDAY, 13 NOV 2018

The Labor Party submitted a response to Commissioner Kenneth Hayne's interim report, documenting feedback to the Royal Commission through victims of bank misconduct, including claims banks go out of their way to avoid compensation settlements. In ...

Westpac cops BBSW fine

HARRISON WORLEY | MONDAY, 12 NOV 2018

... As a result of the ruling, Westpac is also set to pay ASIC's costs of and incidental to the penalty hearing. ASIC Commissioner Cathie Armour was pleased with the court's ruling, and added ASIC moved litigation against the banks to hold them to account. ...

ASIC moves to make licensees FASEA compliant

JAMIE WILLIAMSON | FRIDAY, 9 NOV 2018

... also proposed that any responsible manager has spent at least three of the last five years in a relevant role. ASIC commissioner Danielle Press said the additional option reflects the higher levels of competence expected in the industry. "Our proposals ...

Macquarie to front Royal Commission

JAMIE WILLIAMSON | MONDAY, 5 NOV 2018

... services Royal Commission for the first time when the inquiry reconvenes for its final round of public hearings. Commissioner Kenneth Hayne released the list of entities called to give evidence in the seventh round of hearings, and Macquarie Group is ...

Train staff on privacy risks: OAIC

HARRISON WORLEY | MONDAY, 5 NOV 2018

The Office of the Australian Information Commissioner has called for staff training on how to identify and prevent privacy risks, as financial services recorded the second highest number of data breaches in the third quarter of 2018. In its report of ...

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Global X awards mandate for ETF business

ELIZA BAVIN

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

Bell Asset Management launches small-caps fund

KARREN VERGARA

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

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

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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