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Showing 71 - 80 of 121 results for "Undertakings"

Barclays cops $80,000 fine

LINDA HAUSKEN  |  TUESDAY, 16 OCT 2012
... account. The MDP is a peer review body that exercises ASIC's power to issue infringement notices and accept enforceable undertakings in relation to alleged breaches of the market integrity rules.

Omega bullish on sovereign investing

LINDA HAUSKEN  |  MONDAY, 8 OCT 2012
... that change in yield has actually produced quite high returns in government bonds." Omega said its recent research undertakings were driven by a desire to pinpoint the factors most relevant to sovereign bond investors in today's environment. As part ...

Asian managers eye Fund Passport

BEN COLLINS  |  MONDAY, 6 AUG 2012
... in the market, said RBC Investor Services. In its latest industry poll, RBC Investor Services also said that while undertakings for collective investment in transferable securities (UCITS) products remain popular, Asian investors are keen to explore ...

Superannuation needs more regulatory resilience: ASIC

MELANIE TIMBRELL  |  MONDAY, 20 FEB 2012
... what matters we take on, what matters we don't and why we seek particular remedies," Medcraft said. "Enforceable undertakings can achieve a more effective regulatory result than other remedies in some cases - such as an improved compliance or a quicker ...

APRA accepts EU from former Trio director

CLAIRE MCGREAL  |  FRIDAY, 4 NOV 2011
... maintained that the former director "genuinely regrets the consequences that arose". "APRA has now accepted enforceable undertakings from all those individuals who were on the Trio Board at the time of its collapse in December 2009," said APRA deputy ...

Trio directors accept APRA suspension

ELISE BURGESS  |  FRIDAY, 9 SEP 2011
... enforceable undertaking from the pair. The Australian Prudential Regulation Authority (APRA) accepted the enforceable undertakings (EU) from the former Trio director's yesterday and said it was an appropriate resolution of the matters. Phillpott, chief ...

ASIC jobs cut as responsibilities rise

ALISON BEVEGE  |  FRIDAY, 22 JUL 2011
... civil penalty proceedings against those who breach the rules and would prefer infringement notices and enforceable undertakings. Sydney University Associate Professor of law Joanna Bird, said all regulatory organisations needed to live within their means ...

UBS wealth mgmt to review compliance

ELISE BURGESS  |  FRIDAY, 18 MAR 2011
... the actions and has since accepted UBS WMA's pledge to undergo a legally enforceable undertaking (EU). Enforceable undertakings are an alternative to civil or administrative action when a party doesn't comply with legislation, but remains enforceable ...

ACCC responds to NAB/AXA deal criticism

RUTH LIEW  |  FRIDAY, 1 OCT 2010
... "Subsequent to the decision, NAB approached the ACCC and indicated that it wished to consider the possibility of offering undertakings to alleviate the ACCC's concerns. "The undertaking process... was in the hands of NAB and AXA," he said. Samuel said ...

ACCC opposes NAB/AXA merger

RUTH LIEW  |  THURSDAY, 9 SEP 2010
... consultation with the industry, including feedback from planners, dealer groups and investment product providers. "The undertakings as proposed place a heavy reliance upon IOOF having sufficient distribution capability to provide an effective competitive ...