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Showing 41 - 50 of 59 results for "ASIC commissioner Cathie Armour"

Sydney licensee caught out on conflicts

JAMIE WILLIAMSON | MONDAY, 27 NOV 2017

... by those stockbrokers of sell-side research on securities should be independent and objective," ASIC commissioner Cathie Armour said. "Ensuring this conduct meets these standards directly is necessary to ensure the integrity of financial markets and ...

Former BBY adviser cops 10-year ban

KARREN VERGARA | WEDNESDAY, 8 NOV 2017

... that was inconsistent or contrary to, the investment strategy agreed in the Statement of Advice. ASIC commissioner Cathie Armour said: "Financial advisers are expected to act with honesty and in the interests of their clients. ASIC will take action against ...

ASIC raises concerns over NSX listings

KARREN VERGARA | TUESDAY, 29 AUG 2017

... implementation of the agreed actions and to provide a report on the findings by 31 March 2018. ASIC commissioner Cathie Armour said: "Listing standards are critical to the integrity of the Australian equities market, and the trust and confidence investors ...

Macquarie to pay $2m following ASIC probe

ALEX BURKE | MONDAY, 22 MAY 2017

... markets and the proper functioning of this market is of vital importance to the Australian economy," ASIC commissioner Cathie Armour said. "ASIC has now accepted undertakings from some of Australia's largest market participants to put in place forward ...

Adviser ban upheld by tribunal

KARREN VERGARA | TUESDAY, 4 APR 2017

... such as information about capital raisings - even when following a client's direct instructions," ASIC commissioner Cathie Armour said. Batros was an authorised representative with financial services licensee Morgans Financial, between January 2012 and ...

Barclays fined following ASIC investigation

JAMIE WILLIAMSON | FRIDAY, 24 MAR 2017

... these instruments, including the fundamental obligations relating to disclosure and reporting," ASIC commissioner Cathie Armour said. "Entities that fail to self-report a breach of their obligations to ASIC within the required time will be subject to ...

Past Morgan Stanley adviser hit with permanent ban

JAMIE WILLIAMSON | MONDAY, 13 MAR 2017

... likely to breach financial services law again in future and was not of good fame or character. ASIC commissioner Cathie Armour said: "Financial advisers are expected to act in the best interests of clients. ASIC will ensure appropriate enforcement action ...

Two of the big four in ASIC spotlight

ALEX BURKE | THURSDAY, 22 DEC 2016

... well-functioning foreign exchange market depends on all participants acting with integrity and fairness," ASIC commissioner Cathie Armour said. "ASIC is committed to ensuring that major financial institutions have in place effective mechanisms for ensuring ...

ASIC bans Deutsche Bank trader

KERRIE SYDEE | THURSDAY, 29 SEP 2016

... notified ASIC of the measures it believes will better monitor and detect poor conduct in the future. ASIC commissioner Cathie Armour said: "The integrity of our financial markets is vitally important and ASIC will take action to remove anyone in the ...

Cyber security not just an IT problem: ASIC

KERRIE SYDEE | WEDNESDAY, 14 SEP 2016

... be aware of their responsibility and duty to understand company cyber resilience, according to ASIC commissioner Cathie Armour. Speaking as part of a panel at the SINET61 Summit held in Sydney, Armour said it isn't surprising that board members feel ...

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Australian Unity to shed 195 roles

MATTHEW WAI

Australian Unity is reducing its workforce by 195 positions due to underperformance stemming from delays in government support for its Home Health platform and the integration of several businesses.

Count shutters limited-advice business, slips in size ranking

MATTHEW WAI

Count Financial has reportedly wound up its restricted SMSF/limited-advice service, losing some 26 advisers on the Financial Adviser Register, latest data shows.

First Super recruits head of investments from Prime Super

MATTHEW WAI

First Super has appointed a new head of investments, replacing Chris Artis, who was in the position for the past three months on an interim basis.

BMO eyes Euroz Hartleys' capital markets business

KARREN VERGARA

Euroz Hartleys confirmed it is in discussions with Canada's BMO Financial Group for a potential sale of its capital markets business for $145 million.

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