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|Search Results||Showing 1 - 10 of 44 results for "Cathie Armour"|
|... managing conflicts of interest and insuring information provided to investors is not misleading. ASIC commissioner Cathie Armour recommended that "all licensees should review ASIC's findings and consider whether their controls for the allocation process ...|
|... arrangements requested by public companies and pre-prospectus communications to stakeholders. ASIC commissioner Cathie Armour said: "Given the significant costs involved in undertaking an IPO, our new legislative relief will help reduce the regulatory ...|
|... understand that the legislative requirements are important and must be adhered to," she said. ASIC Commissioner Cathie Armour welcomed the decision and said the outcome demonstrates how serious client money breaches are. "Client money obligations protect ...|
|... entities to ensure compliance with their reporting and monitoring obligations under the ASIC Rules," ASIC commissioner Cathie Armour said. Compliance with the infringement notices is not an admission of guilt or liability, ASIC said. On the same day ...|
|... similar regulatory supervision and outcomes will be achieved by equivalent overseas requirements. ASIC commissioner Cathie Armour said the regulator's new framework was designed to ensure wholesale investors could continue to access the opportunities ...|
|... 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 ...|
|... 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 ...|
|... 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 ...|
|... any 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 ...|
|... 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 ...|
The corporate watchdog's executive director of wealth management has nabbed a promotion and will now assume the role of ASIC's executive director of financial services.
New research has identified that urgent short-term need for money is the main driver for people withdrawing their superannuation savings under the COVID-19 ERS scheme.
Westpac has agreed to pay a civil penalty of $1.3 billion in relation to its contraventions of the anti-money laundering and counter terrorism laws.
Victorian Funds Management Corporation has welcomed a head of client and market development to its executive team.
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