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Showing 541 - 550 of 6426 results for "Regulatory"

ASIC calls on AFS licensees to 'step up'

ELIZA BAVIN  |  TUESDAY, 24 JUN 2025
The Australian Securities and Investments Commission (ASIC) has issued a warning about share sale fraud after a spike in reports of stolen shares due to identify theft. ASIC said it has conducted an industry review and provided updated guidance for ...

SMC backs principles-based approach to corporate governance

ANDREW MCKEAN  |  MONDAY, 23 JUN 2025
... that aren't overly prescriptive and continue to empower entities to find the most efficient and effective ways to meet regulatory responsibilities as they relentlessly focus on delivering for their members," it said. SMC also supported APRA's proposal ...

Australia progresses climate transition disclosures, planning

KARREN VERGARA  |  FRIDAY, 20 JUN 2025
... forward-looking data, robust standards, and credible transition pathways in supporting both investor confidence and regulatory alignment. "We are working closely with clients to integrate both physical and transition risks into their investment process. ...

‍Padua recruits tech professional

ELIZABETH FRY  |  THURSDAY, 19 JUN 2025
... decades of experience in financial services and product and joins Padua from Colonial First State, where he managed IT regulatory obligations. Before that, he was general manager of policy and policy & regulation at the Australian Retail Credit Association ...

Wealth groups tap operations leads

ELIZABETH FRY  |  THURSDAY, 19 JUN 2025
... superannuation, and investment services. "Nathan has been a crucial part of our leadership team, offering not only extensive regulatory and compliance expertise but also insightful strategic thinking and operational discipline," said Aura Group managing ...

Equity Trustees rapped over the knuckles by ASIC

JAMIE WILLIAMSON  |  THURSDAY, 19 JUN 2025
Equity Trustees was fined nearly $60,000 by the regulator for making misleading statements about the holdings of a sustainable bond fund. Equity Trustees agreed to pay three infringement notices totalling $56,340 over allegations it made misleading ...

Royal London Asset Management plants flag in Australia

ANDREW MCKEAN  |  MONDAY, 16 JUN 2025
... and select international markets. Australia, Royal London said is a "natural growth market," given its cultural and regulatory alignment with the UK. The asset manager also pointed to the relevance of its heritage as a retirement and investment mutual ...

ASIC takes action on Australian Fiduciaries

KARREN VERGARA  |  MONDAY, 16 JUN 2025
ASIC is investigating Queensland financial services firm Australian Fiduciaries, which has $160 million of investor money, and seeks asset preservation orders and the appointment of receivers. ASIC believes that about 600 retail investors have invested ...

ASIC cancels Financial Services Group Australia's AFSL

KARREN VERGARA  |  MONDAY, 16 JUN 2025
ASIC has cancelled the AFSL of Financial Services Group Australia (FSGA), which has links to the Shield Master Fund and First Guardian Master Fund. FSGA's responsible manager (RM) Graham Holmes has also been permanently banned from working in the ...

ASIC launches fresh inquiry into ASX

KARREN VERGARA  |  MONDAY, 16 JUN 2025
ASIC has launched another inquiry into the ASX, this time focusing on its overall governance, capability, risk management frameworks and practices. The inquiry will be led by a panel that will make recommendations to address any identified shortcomings ...