Search Results | Showing 811 - 820 of 1370 results for "Corporations" |
| | | ... s.12CC of the Australian Securities and Investments Commission Act 2001 (Cth) (ASIC Act), s.912A(1), s.1041A of the Corporations Act 2001 (Cth) (Corporations Act)." In addition, ASIC will seek "pecuniary penalties" against the bank, including the establishment ... |
| | | | ... the fastest pace since October 2011 - from 1.4% in both December and January. Similarly, credit to non-financial corporations picked up by 0.9% (year-on-year) in February - the strongest since December 2011 - from 0.6% in the year to January. Hong Kong ... |
| | | | ... "We consider that a failure to identify and manage conflicts of interest may lead to significant breaches of the Corporations Act and fiduciary duties, and result in reputational and financial damage." |
| | | | ... several Macquarie breach reports between 2004 and 2014 pertaining to "breaches of the client money provisions of the Corporations Act." These breaches included failing to deposit client money into a designated trust account and making unauthorised withdrawals ... |
| | | | ... go far enough according to Shadow Minister for Financial Services and Superannuation, Jim Chalmers. Discussing the Corporations Amendment (Life Insurance Remuneration Arrangements) Bill 2016 in the House of Representatives on March 3, Chalmers said that ... |
| | | | ... shown concern with the proposed limitation of concessions to so-called 'sophisticated investors' as defined in the Corporations Act 2001. KPMG said this limitation, which is defined as those earning more than $250,000 per annum or having a net worth ... |
| | | | ... regulator raised concerns about the language being used to promote their services. Specifically, ASIC said that under the Corporations Act, a business can only describe a financial service as "independent" if no commissions, volume-based payments or ... |
| | | | Several key amendments to the Future of Financial Advice reforms have been passed by parliament. The Corporations Amendment (Financial Advice Measures) Bill will extend the time allowed for advisers to provide opt-in renewal notices and fee disclosure ... |
| | | | ... failure to ensure consumers were given appropriate advice. ACE admitted that there had been contraventions of the Corporations Act and ASIC Act, including a requirement to take reasonable steps to ensure representatives complied with the best interests ... |
| | | | ... inflection point. The industry has become highly competitive and the industry that used to focus on institutions or corporations now has to focus on individual customers, and has to do it meaningfully." While a range of new, more innovative and simpler ... |
|