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Showing 41 - 50 of 74 results for "Commissioner John Price"

ASIC approves world-first fintech exemptions

ALEX BURKE | THURSDAY, 15 DEC 2016

... the regulator is notified in advance and businesses meet "certain consumer protection conditions." ASIC commissioner John Price explained: "ASIC's fintech licensing exemption reflects our commitment to facilitating innovation in financial services. However ...

ASIC permanently bans dishonest adviser

KERRIE SYDEE | MONDAY, 31 OCT 2016

... use of $1.8 million from clients led to ASIC finding that he was not of good fame and character. ASIC commissioner John Price said: "ASIC will take action to remove persons from the financial services industry to protect the public. Mr Howard's conduct ...

Self-auditing SMSF auditor caught in ASIC breach

JAMIE WILLIAMSON | THURSDAY, 27 OCT 2016

... Samuel) is not a fit and proper person to be an approved SMSF auditor for the purposes of the Act." ASIC commissioner John Price said the regulator will continue to take action where the behavior of SMSF auditors is inadequate. "SMSF auditors play a ...

Equititrust CEO remains permanently banned

KERRIE SYDEE | THURSDAY, 20 OCT 2016

... application for a review of ASIC's decision to permanently ban him from providing financial services. ASIC commissioner John Price said McIvor's conduct was at the most serious end of the offending range and that it was appropriate he be permanently ...

ASIC drops proceedings against two former directors

KERRIE SYDEE | THURSDAY, 22 SEP 2016

... understand properly those deficiencies; and the clear need to uphold the integrity of the SMSF system." ASIC Commissioner John Price said: "To safeguard the SMSF sector, ASIC will continue to use its power to disqualify approved SMSF auditors that don't ...

Regulatory sandbox exemption welcomed

KERRIE SYDEE | THURSDAY, 9 JUN 2016

... between leaders in the fintech community, ASIC and Federal Treasury that started late last year." ASIC commissioner John Price said: "We believe the measures proposed in this consultation paper will help to lower barriers to entry faced by fintech start-ups ...

MFSIM execs use $143.5m in client money to repay debts

KERRIE SYDEE | TUESDAY, 24 MAY 2016

... company also seem... to qualify them as its 'high managerial agents.'" Commenting on the findings, ASIC commissioner John Price said: "Company officers, including directors, play a very important role as gatekeepers in Australia's financial system. In ...

Government pushes "regulatory sandbox" for fintech startups

ALEX BURKE | WEDNESDAY, 4 MAY 2016

... fintech innovation while maintaining protections to ensure investor and consumer trust and confidence," ASIC commissioner John Price said. He added: "ASIC anticipates that the proposed regulatory sandbox exemption may bring better financial services ...

ASIC consults on robo regulation

ALEX BURKE | MONDAY, 21 MAR 2016

... potential to offer Australian consumers access to good quality, low-cost, financial advice," said ASIC commissioner John Price. "ASIC is committed to helping industry take advantage of the opportunities offered by robo-advice while ensuring that investor ...

ASIC tightens Macquarie's AFSL

ALEX BURKE | FRIDAY, 11 MAR 2016

... licensees to maintain strict controls and follow proper procedures in their handling of client funds," ASIC commissioner John Price said. "Where that does not occur, ASIC will take action to ensure a licensee's ability to continue operating is contingent ...

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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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