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Showing 731 - 740 of 834 results for "Regulations"

Life ban for adviser after altering codes

RUTH LIEW  |  THURSDAY, 17 JAN 2008
... to comply with a financial services law, and the commission had reason to believe he would not comply with future regulations. Between September 2001 and July 2005, Grant altered broker codes in Shadforths' computerised trading and reporting system in ...

Industry funds not holding up transfers: AIST

ALEX DUNNIN  |  TUESDAY, 11 DEC 2007
... concerns industry may not be releasing transfers within the new 30 day rules as required under the new 'better super' regulations. Reynolds said sometimes obtaining relevant certifications from the destination trustee could take some time and this complicates ...

Asia marching on faster than expected

ALEX DUNNIN  |  FRIDAY, 7 DEC 2007
... to using lead paint or using plastics in toys that convert to the drug GHB. Chinese authorities trying to improve regulations to ensure this doesn't continue to undermine their international reputation may find this more challenging to overcome than ...

NZ planners regs improve fee transparency

... advisers. "The Securities Market Act was passed last year and there has been considerable consultation on the draft regulations since then so investment advisers are well aware that the regulations governing its implementation are on the horizon. Many ...

Bombay Stock Exchange leads governance reforms

ALEX DUNNIN IN MUMBAI REPORTING FROM THE INAUGURAL AUSTRALIA INDIA FINANCIAL FORUM  |  WEDNESDAY, 21 NOV 2007
... million, he said. These governance reforms were introduced following a major scam that occurred in 2001. "A lot of new regulations were introduced after this," said Patel. The Singapore and German bourses owning 26 per cent of the BSE between them also ...

Hong Kong's millionaire factory

MICHAEL HOBBS  |  FRIDAY, 2 NOV 2007
... forecasted to grow by $109 billion in three years, an annual increase of almost 11 per cent. Spurred by simple business regulations, flexible labour market policies and low tax rates, the Hong Kong market has endured a global downturn to produce strong ...

ATO fines SMSF $62k

MICHAEL HOBBS  |  MONDAY, 29 OCT 2007
... Office provides a range of educational material to ensure trustees are complying with all the regulatory rules and regulations.

Macq bank splits to grow

MICHAEL HOBBS  |  FRIDAY, 26 OCT 2007
... will allow the company to pursue strategies that had driven its strong growth to date and ensure they meet with APRA regulations," he said. As one shareholder who attended the AGM said, "If APRA were somehow restricting development in the past and yet ...

Canadian fund slams investment restrictions

CHRIS NICHOLLS  |  MONDAY, 22 OCT 2007
... contradict how much funds can invest in resource companies in Europe, Asia or South America. The fund also argued pension regulations should move from rigid rules to principles and to a cooperative regulatory model based on constructive industry consultation. ...

Share trading reforms to lower transaction costs: ITG

New share trading regulations in the US and Europe will have a positive knock-on effect on the trading costs of Australia's super funds and fund managers, said Michael Corcoran, director at Investment Technology Group (ITG). Corcoran said that regulatory ...