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Showing 41 - 50 of 61 results for "Cathie Armour"

Financial Standard wins prestigious award

DARREN SNYDER  |  THURSDAY, 6 APR 2017
... interviews, originality in thinking and impact. This year's judges were: Yasmin Allen Non-Executive Director, ASX Cathie Armour Commissioner, ASIC Andrew Baxter CEO, Publicis Worldwide Australia Paul Clitheroe Non-Executive Director, Ipac Securities ...

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 ...

ASIC compensation skyrockets

KARREN VERGARA  |  THURSDAY, 9 MAR 2017
... project in the last six months, which have resulted in a number of key outcomes," the report reads. Commissioner Cathie Armour said: "ASIC is working hard to protect all participants in our markets and financial services industry from those that would ...

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 ...

ASIC determines Aussie equity market "mostly clean"

ALEX BURKE  |  WEDNESDAY, 10 AUG 2016
... Measuring abnormal price movements forms the basis of the established market cleanliness measure." ASIC commissioner Cathie Armour added: "We have seen a gradual improvement in market cleanliness indicators over time and across different segments of ...

ASIC compensation plummets despite surveillance success

ALEX BURKE  |  MONDAY, 8 AUG 2016
... unwavering commitment to ensuring Australia's markets remain a level playing field for all investors," ASIC commissioner Cathie Armour said. ASIC commissioner Greg Tanzer added: "ASIC is working hard to maintain trust and confidence in Australia's financial ...