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Showing 891 - 900 of 6446 results for "Regulatory"

Monochrome moves to list Ethereum ETF

ANDREW MCKEAN  |  FRIDAY, 6 SEP 2024
... firm has seen is long-term Bitcoin investors transferring their holdings from digital exchanges to IBTC. With the "regulatory position around digital exchanges remaining in flux," the spokesperson expects this to continue. The spokesperson added that ...

Melbourne adviser sentenced to 18 months' prison

ELIZA BAVIN  |  FRIDAY, 6 SEP 2024
Former Melbourne financial adviser Bradley Grimm has been convicted by the County Court of Victoria on three counts of engaging in dishonest conduct while running a financial services business. Grimm was sentenced to 18 months' imprisonment, with ...

APRA alleges First Super co-chair breached director duties

JAMIE WILLIAMSON  |  FRIDAY, 6 SEP 2024
First Super co-chair Michael O'Connor has stepped down following allegations by APRA that he breached his duties as a director in relation to a contract between the fund and the Construction, Forestry and Maritime Employees Union (CFMEU). In addition ...

ASIC cancels AFSL of foreign exchange contracts issuer

ELIZA BAVIN  |  THURSDAY, 5 SEP 2024
The Australian Securities and Investments Commission (ASIC) has cancelled the Australian financial services licence (AFLS) of contracts for difference (CFDs) and foreign exchange contracts issuer, FXOpen AU. ASIC said the decision to cancel the licence ...

Former Courtenay House director sentenced

MATTHEW WAI  |  TUESDAY, 3 SEP 2024
Former Courtenay House director Tony Iervasi has been sentenced to prison for 11 years, with a non-parole period of seven years, for his involvement in one of the nation's biggest Ponzi schemes. Between 13 December 2010 and 21 April 2017, Iervasi ...

Consultation begins on new merger notification thresholds

ANDREW MCKEAN  |  MONDAY, 2 SEP 2024
The government has begun consultation on proposed changes to merger notification thresholds as part of broader reforms designed to boost competition and productivity. Treasurer Jim Chalmers said in a joint statement said that they're designed to ensure ...

FSU campaigns against workplace surveillance

JAMIE WILLIAMSON  |  FRIDAY, 30 AUG 2024
... cannot be used in disciplinary or performance management processes," the FSU said. Only supervision that is required for regulatory reasons would be permissible. It said its members are deeply concerned about the growing use of surveillance techniques ...

IFM Investors recruits chief of staff

ELIZABETH FRY  |  FRIDAY, 30 AUG 2024
... team. Haqqani is a senior financial services executive who has worked in operations, technology, product, strategy, and regulatory affairs in financial technology, funds management, superannuation and pensions. "We're thrilled to welcome Amara to ...

CLSA penalised over data mistakes

MATTHEW WAI  |  FRIDAY, 30 AUG 2024
CLSA Australia paid a penalty of $144,300 in relation of an infringement notice for failing to provide correct regulatory data to the relevant market operator. The infringement noticed, given by Markets Disciplinary Panel (MDP), considered that from ...

ASIC launches new AFSL portal

ELIZA BAVIN  |  THURSDAY, 29 AUG 2024
... financial sector," it said. "We are continuing to explore new services, sharing information and assets to increase regulatory compliance and reduce harm."