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Showing 61 - 70 of 76 results for "ASIC Report"

ASIC finds hedge funds pose no systemic risk

MARK SMITH  |  TUESDAY, 10 SEP 2013
Australian hedge funds do not currently pose a systemic risk to the Australian financial system, a new ASIC report has found. The regulator also found that qualifying hedge funds in the survey also use low leverage and appear to have adequate liquidity ...

ASIC raises red flag on capital protected products

LAURA MILLAN  |  THURSDAY, 2 MAY 2013
... unlisted retail structured products that are being promoted as having "capital protection" or a "capital guarantee". An ASIC report noted that these are complex investments of which retail investors often have a poor understanding. The report highlights ...

One third of SMSF advice is poor: ASIC

ALEX DUNNIN  |  THURSDAY, 18 APR 2013
An ASIC report examining the quality of financial advice received by self managed super fund (SMSF) trustees and potential trustees has found that while most advice quality is adequate, there is a trend towards recommending SMSFs as the default solution. ...

ACSA lends weight to ASIC tech focus

MELANIE TIMBRELL  |  THURSDAY, 2 AUG 2012
... segregation and administration services, and implementing directions as requested - a point ACSA felt wasn't clear in the ASIC report. ACSA also reinforced its opposition to replacing the term 'custodian' with 'depository,' a move ASIC indicated it was ...

Flaws in advice system revealed by ASIC report

ELISE BURGESS  |  WEDNESDAY, 28 MAR 2012
The results of ASIC's shadow shopping research, which found only 3% of retirement advice was 'good', has revealed flaws in our current advice system, according to some industry figures. The Australian Securities and Investments Commission (ASIC) released ...

ASIC warns against security breaches

ELISE BURGESS  |  MONDAY, 23 JAN 2012
Online stockbroking firms have been warned to check their security after ASIC reported a number of account breaches. The Australian Securities and Investments Commission (ASIC) has informed online stockbroking firms to urgently review their account ...

ASIC heats up insider trading investigations

ELISE BURGESS  |  THURSDAY, 14 JUL 2011
... identified a number of instances where index ETFs have traded well away from the price of the underlying index," said the ASIC Report 243. Tregillis said ASIC expects market participants and operators to be gatekeepers and control conduct so it abides ...

ASIC outlines philosophy behind policy framework

ALEX DUNNIN  |  TUESDAY, 1 FEB 2011
... think holistic advice is the default advice model are holding themselves back from seizing emerging opportunities, an ASIC report said. Early in January, ASIC released their Access to Financial Advice report that outlined the regulator's strategic directions ...

Adviser sentenced to 8yrs imprisonment

ELISE BURGESS  |  FRIDAY, 29 OCT 2010
... allocated to buy shares in superannuation funds, investment products or Understanding Retirement. Yet according to the ASIC report, "this money was subsequently spent by Mr. Dodd on personal and business-related expenses". In August, ASIC proceeded to ...

Opes Prime boosts corporate governance

RUTH LIEW  |  WEDNESDAY, 13 FEB 2008
Prime brokerage services provider Opes Prime has appointed Jennifer Kane to head of corporate and legal affairs as the firm moves to meet its corporate governance and legal compliance obligations. Prior to her appointment, Kane was head of compliance ...