Search ResultsShowing 1 - 10 of 39 results for "Cathie Armour"
Former financial adviser charged
HARRISON WORLEY  |  TUESDAY, 13 AUG 2019
... corporate regulator banned Kawecki from providing financial services for seven years in 2018 , and ASIC commissioner Cathie Armour noted Kawecki's attempts to maneuver around the ASX's minimum spread requirements impacted market integrity. "ASIC considers ...
Australian equity markets remain clean: ASIC
KRISTI CHENG  |  THURSDAY, 1 AUG 2019
... suspicious trading accounts remained stable, the volume traded by the same accounts increased. ASIC commissioner Cathie Armour said: "Markets cannot operate with a high degree of integrity if people trade with inside information." "We expect all parties ...
Former Kaz Capital adviser banned
ELIZABETH MCARTHUR  |  FRIDAY, 17 MAY 2019
... enquiries. The independent expert will report back to ASIC and Kaz Capital in June this year. ASIC commissioner Cathie Armour said of the licence conditions: "Licensees must have an adequate and appropriate compliance framework to govern the monitoring ...
AFSL to begin independent review
DARREN SNYDER  |  WEDNESDAY, 16 JAN 2019
... further action is necessary." The expert will then report to both ASIC and Kaz in June 2019. ASIC Commissioner Cathie Armour said: "Licensees must have an adequate and appropriate compliance framework to govern the monitoring and supervision of their ...
ASIC funding numbers released
HARRISON WORLEY  |  THURSDAY, 6 DEC 2018
... responsible for recovering $236.6 million of the regulator's costs in the last financial year. ASIC commissioner Cathie Armour said the system was designed to ensure a fairness and efficient financial system. "We have been working with industry to implement ...
ASIC appoints to disciplinary panel
KANIKA SOOD  |  FRIDAY, 30 NOV 2018
... Manchee and Goldman Sachs electronic trading executive director Ian Jones have all been appointed. ASIC Commissioner Cathie Armour said: "These new appointments ensure the MDP continues to have the appropriate mix of expertise, experience and diversity ...
Court fines stockbroker $350k
KARREN VERGARA  |  THURSDAY, 22 NOV 2018
... infringement notice, ASIC commenced civil penalty proceedings against it on 21 November 2016. ASIC Commissioner Cathie Armour said the Market Integrity Rules are vital to ensuring that Australia's financial markets are fair and efficient "Market participants ...
Westpac cops BBSW fine
HARRISON WORLEY  |  MONDAY, 12 NOV 2018
... the ruling, Westpac is also set to pay ASIC's costs of and incidental to the penalty hearing. ASIC Commissioner Cathie Armour was pleased with the court's ruling, and added ASIC moved litigation against the banks to hold them to account. "ASIC brought ...
ASIC bans former adviser on IPO conduct
KANIKA SOOD  |  WEDNESDAY, 27 JUN 2018
... providing financial services if they engage in conduct that undermines the integrity of our markets," ASIC commissioner Cathie Armour said. Following a hearing, the ASIC delegate found Kawecki had failed to comply with a financial services law by knowingly ...
ASIC wants industry views on short selling
DARREN SNYDER  |  TUESDAY, 15 MAY 2018
... consultation, ASIC aims to consolidate all short selling-related relief into a single instrument. ASIC commissioner Cathie Armour said: "It is important that short selling continues to be regulated appropriately so that our market remains orderly and ...
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