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Showing 61 - 70 of 81 results for "Securities Commission"

NZ planners regs improve fee transparency

... disclosure of fees and remuneration, including commission, from February 29 next year. Over the period, the Securities Commission will implement its education program targeted at investment advisers. "The Securities Market Act was passed last year and ...

Sub-prime's house of cards

SUZY MAC  |  FRIDAY, 9 NOV 2007
Like a house of cards near an open window, many things tumbled overnight - US shares, the ASX/S&P 200, Asian stocks, the FTSE, US bond yields, gold, base metals, the Aussie dollar and, on the upside, oil prices also dropped. Asian markets tumbled after ...

KNM appoints wealth head

MICHAEL HOBBS  |  WEDNESDAY, 7 NOV 2007
... at insurance provider PrefSure. Prior to these roles, Carne was director of enforcement at the Australian Securities Commission. Joe Burke, general manager at KNM and head of KNM for Life, said Carne's experience in corporate governance, compliance and ...

RBNZ to become single NZ financial regulator

WWW.THESHEET.COM  |  THURSDAY, 21 JUN 2007
... (RBNZ). As well, financial advisers will have to belong to approved professional bodies supervised by the Securities Commission, a reform well-flagged through a lengthy consultation process. Currently the RBNZ regulates only registered banks under a ...

No special rules needed for PE: FSA

ALEX DUNNIN  |  WEDNESDAY, 13 JUN 2007
In a pointer to where the Senate Inquiry into private equity will most likely head, the UK Financial Services Authority (FSA) has issued a statement about how it intends to regulate private equity - collect more statistics, hold yet more inquiries but ...

New chairman for SPAA

HAMISH MADDEN  |  THURSDAY, 22 MAR 2007
... to the role. He has spent time working with the Australian Taxation Office as well as the Insurance and Securities Commission for NSW and Queensland. Andrea Slattery, SPAA chief executive officer, said Colley would be an asset to the organisation. "Graeme ...

ASIC gives credit rating agencies a break

... measures for them." Bird said the "tailored" measures ASIC have selected are the International Organisation of Securities Commission (IOSCO) international voluntary codes of conduct, which under ASIC's relief measure will now be mandatory. "Under the ...

ASIC releases super switching study results but FPA not satisfied

The Australian Investments and Securities Commission (ASIC) has released the findings of its assessment of financial advice to consumers wishing to change superannuation funds in the lead up to the introduction of choice of fund legislation. The study ...

ASIC offers super switching guides

The Australian Investments and Securities Commission (ASIC) has released a guide aimed at ensuring financial advisers do not breach the Corporations Act 2001 when giving advice about switching superannuation funds in the new Choice environment. The ...

Beware of fake international 'regulators'

ASIC has advised Australian investors wishing to place funds in overseas markets to be aware of the activities emanating from fake international regulators. These fake regulators have been known to set up bogus websites, telephone numbers and addresses ...