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Showing 621 - 630 of 6446 results for "regulatory"

Macquarie reprimanded again for derivatives compliance failures

KARREN VERGARA  |  WEDNESDAY, 7 MAY 2025
ASIC is again taking action against Macquarie Bank for "multiple and significant compliance failures" relating to its futures-dealing business and over-the-counter (OTC) derivatives trade reporting. The failures have been undetected for many years ...

Licensees slash compliance spending: Survey

KARREN VERGARA  |  WEDNESDAY, 7 MAY 2025
... year. Holley Nethercote managing partner Paul Derham said while the decrease in spending is likely a reflection of less regulatory change during the period, this is expected to reverse in the next 18 months. This is thanks to a "tsunami of regulatory ...

Australia tops list for financial services job growth

ELIZA BAVIN  |  WEDNESDAY, 7 MAY 2025
... management and digital transformation were the most sought after. Robert Walters said the demand was driven by recent regulatory changes and continued investment in digital transformation aimed at enhancing operational efficiency and customer experience. ...

What Labor's second term means for regulators

KARREN VERGARA  |  TUESDAY, 6 MAY 2025
... Australian Shareholders' Association Investor Conference this morning that a change in government is something that regulatory bodies watch closely as the outcome directly impacts their work. "In the lead up to an election, you are watching the policies ...

ASIC cancels licence of Brite Advisors

ANDREW MCKEAN  |  MONDAY, 5 MAY 2025
... year. The company also operated through related entities in the US, UK, and Hong Kong, all of which are now subject to regulatory action or insolvency. In the US, the Securities and Exchange Commission charged Brite Advisors USA with custody rule breaches ...

ETF Shares introduces three ETFs on Cboe

KARREN VERGARA  |  MONDAY, 5 MAY 2025
... adviser market, the primary driver of ETF flows in Australia. "We understand the local advice landscape, including the regulatory shifts following the Royal Commission. That knowledge, combined with our product expertise, positions us to serve advisers ...

ASIC streamlines AFSL applications

JAMIE WILLIAMSON  |  MONDAY, 5 MAY 2025
... (AFSL) applications. From today, those wishing to gain an AFSL can use ASIC's new portal, integrated with the ASIC Regulatory Portal. It has a new interface and method for responding to questions to improve user experience, ASIC said. However, transactions ...

Labor wins: What super, advice industries want

ELIZA BAVIN  |  MONDAY, 5 MAY 2025
... improve business productivity, inspire innovation and deliver a culture-shift that promotes growth through reduced regulatory pressure. "Amid so much global uncertainty, the government should implement a long-term strategic plan to improve Australia's ...

ASIC bans unlicensed WA adviser

ELIZA BAVIN  |  FRIDAY, 2 MAY 2025
The Australia Securities and Investments Commission (ASIC) has made an order to permanently ban former Western Australia based financial adviser Neville Kendrick. Kendrick has been banned from providing any financial services, performing any function ...

Vado Private announces senior hire

ELIZABETH FRY  |  THURSDAY, 1 MAY 2025
... Australian private credit market has grown rapidly and is poised for sustained growth this year, supported by favourable regulatory conditions, increasing investor interest, and the ongoing need for flexible financing solutions among borrowers. "As the ...