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Showing 731 - 740 of 3495 results for "compliance"

Federal Budget is challenging: Economist

CHLOE WALKER  |  WEDNESDAY, 26 OCT 2022
... has also increased by $385 million in 2023-24 and 380 additional staff will cost close to $160 million. Fraud and non-compliance will be addressed with $126.3 million in funding, while more than $30 million is being provided to support dispute resolution ...

ASIC finds shortcomings in wholesale market practices

ANDREW MCKEAN  |  WEDNESDAY, 26 OCT 2022
... deceptive conduct to influence the market to their benefit. As such, ASIC prescribed that participants should ensure their compliance framework is effective in controlling misconduct in their fixed income activities. However, the regulator's observations ...

CommSec, AUSIEX to pay $27m penalty

JAMIE WILLIAMSON  |  WEDNESDAY, 26 OCT 2022
... Market Integrity Rules. CommSec has been ordered to pay $20 million while AUSIEX will pay $7.12 million for systemic compliance failures over a nine-year period. In a case brought by ASIC, the Federal Court found the two companies contravened Market ...

FSC adds to Life Insurance Code of Practice

CHLOE WALKER  |  TUESDAY, 25 OCT 2022
... consumers by including the moratorium in the new Life Code, meaning there will be independent oversight by the Life Code Compliance Committee and the power to sanction Code subscribers who do not comply," Briggs said.

Cboe Global Markets, SBI Holdings sign MoU

ANDREW MCKEAN  |  TUESDAY, 25 OCT 2022
... assets through Cboe Digital, a market and clearinghouse based on the exchange principles of transparency and regulatory compliance, supported by a network of intermediaries, providing client-driven solutions that help institutions fully embrace this ...

Westlawn Financial Services cops stop orders

CHLOE WALKER  |  MONDAY, 24 OCT 2022
... market," it said. "ASIC expects Westlawn to consider the concerns raised about the TMD and take immediate steps to ensure compliance." The corporate regulator said it will consider making a final order if its concerns are not addressed in a timely manner. ...

TPB, bans dishonest tax agents

CASSANDRA BALDINI  |  TUESDAY, 18 OCT 2022
... audit is a critical integrity check to ensure the validity and accuracy of an SMSF's financial statements and its compliance with superannuation legislation and regulations," he said. "The TPB decisions follow referral of intelligence from ATO compliance ...

ASIC issues stop orders on Holon funds

CASSANDRA BALDINI  |  MONDAY, 17 OCT 2022
... cryptocurrency market. ASIC expects Holon to consider the concerns raised about the TMDs and take immediate steps to ensure compliance. It said if concerns are not addressed in a timely manner, final stop orders will be placed on the funds, and it could ...

BGL automates crypto trading

CASSANDRA BALDINI  |  TUESDAY, 4 OCT 2022
... the BGL ecosystem. "With the SMSF industry seeing a 90% increase in crypto trading activity during 2021, building out compliance and reporting for SMSFs has been a key focus for the company," he explained. "The integration between our platform and BGL ...

Mirova names deputy chief executive

CHLOE WALKER  |  TUESDAY, 4 OCT 2022
... Paris-based Abel will oversee the global functions of development, sustainability research, finance, risk, legal and compliance and operations of 60 employees. He will report directly to chief executive Philippe Zaouati. Previously, Abel was head of ...