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Search ResultsShowing 1 - 10 of 53 results for "Cathie Armour"
Another glitch for the ASX
ANNABELLE DICKSON  |  THURSDAY, 4 FEB 2021
... available, we are examining why far more trading did not occur on Chi-X on the day of the outage," ASIC commissioner Cathie Armour said.
ASIC slams auditors
KARREN VERGARA  |  WEDNESDAY, 23 DEC 2020
... supervision and review of audits, and accountability of partners and others for audit quality," ASIC commissioner Cathie Armour said. Auditors' weakest point, she said, was in the areas of asset valuations, particularly impairment of non-financial assets ...
ASIC to review impact of ASX outage
KANIKA SOOD  |  TUESDAY, 22 DEC 2020
... available, we are examining why far more trading did not occur on Chi-X on the day of the outage," ASIC commissioner Cathie Armour said. "ASIC expects participants to review their arrangements for dealing with market outages and disruptions and make ...
Responsible entity fined $2m
ELIZA BAVIN  |  FRIDAY, 20 NOV 2020
... down his judgment that the circumstances involved catastrophic losses sustained by investors. ASIC commissioner Cathie Armour said: "The Federal Court outcome sends an important deterrent message to other responsible entities, as well as to those entrusted ...
ASIC's Chester spills Crennan truth
ANNABELLE DICKSON  |  WEDNESDAY, 28 OCT 2020
... minister and say that in order to gain greater confidence that appropriate action was taken." ASIC commissioner Cathie Armour said the regulator accepts the failings while Peterson went on to say ASIC's leadership structure is a "total mess". However ...
ASIC to curb huge CFD losses
KARREN VERGARA  |  FRIDAY, 23 OCT 2020
... price, the buyer makes a profit. If the trade price decreases, the seller then makes the profit. ASIC commissioner Cathie Armour said the leverage ratio limits aim to decrease the size and speed of retail clients' losses by reducing CFD exposure ...
Societe Generale fined over client breaches
ANNABELLE DICKSON  |  WEDNESDAY, 21 OCT 2020
... received was held in segregated client money trust accounts. This breach cost the company $25,000. ASIC commissioner Cathie Armour said protecting client funds is critical to investor confidence and market integrity. "The law is very clear about the ...
Transition away from LIBOR continues
ELIZABETH MCARTHUR  |  TUESDAY, 13 OCT 2020
... orderly transition of billions of dollars' worth of financial contracts in the derivatives market," ASIC commissioner Cathie Armour said. "Industry wide adoption will significantly reduce the risks of contractual disputes, litigation and frustration ...
RBA, ASIC provide CHESS guidance
ALLY SELBY  |  FRIDAY, 2 OCT 2020
... resilient, reliable and scalable to meet existing and future needs of the market and participants," ASIC commissioner Cathie Armour said. ASIC and the RBA, as well as the broader Council of Financial Regulators and the ACCC, were closely supervising ...
ASIC, IOSCO report on debt capital raisings
ALLY SELBY  |  THURSDAY, 24 SEP 2020
... 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 ...
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