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Showing 71 - 80 of 1987 results for "Australian Securities"

New Year, new APRA

ALLY SELBY  |  FRIDAY, 20 DEC 2019
... agencies throughout the year particularly those within the Council of Financial Regulators (CFR) including the Australian Securities and Investments Commission (ASIC), The Reserve Bank of Australia (RBA) and Treasury," it said. "However APRA has recognised ...

APRA slaps extra conditions on Avanteos

HARRISON WORLEY  |  WEDNESDAY, 11 DEC 2019
... internal controls and weaknesses that allowed these breaches to occur. "APRA has been liaising with the Australian Securities and Investments Commission (ASIC), which continues to conduct its own investigation into these matters. We don't rule out ...

ASIC probes Regal Funds Management

HARRISON WORLEY  |  WEDNESDAY, 27 NOV 2019
... by the fund's investment manager, Regal Funds Management Pty Ltd, that it is under investigation by the Australian Securities and Investments Commission for an undisclosed issue," EQT said in a statement to the ASX. EQT said it expected the trading halt ...

ASIC outlines Code of Ethics expectations

ELIZA BAVIN  |  TUESDAY, 26 NOV 2019
The Australian Securities and Investment Commission has outlined what it expects of advice licensees in regards to enforcing the Code of Ethics, saying it will not monitor or enforce individual advisers' compliance. The regulator said under the Corporations ...

ASIC freezes Sydney advisers' assets

ELIZA BAVIN  |  WEDNESDAY, 6 NOV 2019
The Australian Securities and Investments Commission have obtained consent orders and undertakings in the Supreme Court of NSW against QWL, QWL Asset Management and sole director Ross Hopkins. "ASIC commenced an investigation in relation to allegations ...

ASIC calls out accountants

ELIZA BAVIN  |  TUESDAY, 5 NOV 2019
The Australian Securities and Investment Commission said it does not believe accountants provide "more compliant or better financial advice" than financial advisers. In its submission to the Review of the Tax Practitioners Board released by Treasury ...

ASIC puts trustees on notice

ELIZA BAVIN  |  THURSDAY, 31 OCT 2019
The Australian Securities and Investment Commission has warned superannuation trustees to improve the standard of communication to fund members about Putting Members' Interests First (PMIF) reforms, hinting it may take action against funds if necessary. ...

Extension for super fund portfolio disclosures

ELIZA BAVIN  |  WEDNESDAY, 30 OCT 2019
The Australian Securities and Investment Commission has extended the deadline for superannuation trustees to disclose their portfolio holdings. ASIC said it amended the order to provide "legal certainty" about the first reporting day, given that the ...

ASIC bans former Fitzpatricks employee

ELIZA BAVIN  |  MONDAY, 28 OCT 2019
... employee has been permanently banned from providing financial services after stealing close to $300,000. The Australian Securities and Investments Commission said Emma Maree Radke provided administration services from a company related to Fitzpatricks ...

ASX updates listing rules

ELIZA BAVIN  |  FRIDAY, 11 OCT 2019
The Australian Securities Exchange has updated its listing rules, boosting its ability to crack down on rule breakers. ASX chief compliance officer Kevin Lewis said the changes are designed to improve disclosures to the market, make the listings rules ...