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Showing 561 - 570 of 581 results for "Scrutiny"

ASIC acts against wealth management promoter

... recommendations on derivative and securities products. This has not been the first time McIntyre has come under ASIC's scrutiny. In October 2004 McIntyre and 21st Century Academy provided a written undertaking to ASIC that scheduled national seminars ...

Practice management important for advisers

... their training. Changes in the financial planning industry, increased competition, complex regulation and greater public scrutiny has further heightened the role of practice management in ensuring advisers conduct business effectively added Penningto ...

Survey reveals difficulties in measuring non-financial performance indicators

... the firms had an annual revenue of more than US$500 million. Annette Watson added "modern practice requires the board's scrutiny and oversight, not only to the organisation's performance, but its own performance, it is too late to review the financials ...

ASIC accepts National Australia Bank's enforceable undertaking

... year. The enforceable undertaking requires National to produce a series of reports to be subject to independent audit scrutiny. The reports are to ensure the National identifies, records and informs ASIC regarding breaches of its AFSL, and implements ...

ACCC plans to revise merger process to increase transparency

AAP | FRIDAY, 24 SEP 2004

The Australian Competition and Consumer Commission (ACCC) on Thursday said it planned to open up scrutiny of its merger clearance process to increase transparency and accountability. ACCC chairman Graham Samuel said the changes would embrace world's ...

Regulators act to stamp out illegal early access to super

... these types of schemes using a three-pronged approach involving enforcement, compliance action and education. Closer scrutiny is also being paid to the management of self-managed funds. To educate the community about these schemes, ASIC said it is working ...

ASIC welcomes closer scrutiny on advertising guidelines

The Australian Securities and Investments Commission (ASIC) on Monday welcomed another step forward in the crackdown on misleading advertising in the financial services industry. The regulator said the release of guidelines by the Mortgage Industry ...

New NAB boss has own suspicions about rogue trading scandal

... resignation was in the best interests of the bank. The trading scandal has put the bank's risk management strategy under close scrutiny and four separate investigations - including one by Australian Federal Police - are being conducted. Mr Stewart again ...

FPA chief speaks out on restructure

... Reform currently underway as well as the challenges faced this year by financial planners undergoing extensive public scrutiny, Ms Kelly said that the FPA had to adapt to this new environment in order to be serve its members. "We are playing on a new ...

CFOs produce their own guide to risk management

AAP | WEDNESDAY, 26 NOV 2003

As investor scrutiny of public companies intensifies, chief financial officers of Australia's major enterprises have moved to strengthen their risk management processes. A group of chief financial officers (CFOs) have released a comprehensive guide ...

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Federal Court calls out ASIC for re-running case on appeal

RIDDHIMA TALWANI

The Full Federal Court of Australia has criticised regulators for falling back on appeals to re-litigate cases on a different legal basis than the one run at trial.

Evergreen founder exits Ascalon Capital

KARREN VERGARA

Ascalon Capital has bid farewell to Evergreen Consultants' founder Angela Ashton, shortly after acquiring the consulting firm last year.

Powerhouse Ventures partners with European fund manager

KARREN VERGARA

ASX-listed Powerhouse Ventures has partnered with an unnamed European fund manager that will commit US$50 million to its fledgling Critical Infrastructure Opportunities (CIO) Fund.

KeyInvest unveils new investment platform, awards mandate

MATTHEW WAI

KeyInvest has launched a new investment platform to include a plethora of investment strategies ranging from private credit to global equities.

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