Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW
Search ResultsShowing 1 - 10 of 21 results for "James Shipton"
916 advisers gone in three months, ASIC responds
ELIZABETH MCARTHUR  |  THURSDAY, 21 MAY 2020
ASIC chair James Shipton insists the regulator is concerned by the number of financial advisers leaving the industry and how COVID-19 could amplify the issue, as it is revealed almost 1000 left since the pandemic hit. The ASIC Financial Adviser Register ...
Major regulatory efforts delayed
HARRISON WORLEY  |  WEDNESDAY, 15 APR 2020
... the Australian financial services sector are under enormous strain due to the effects of COVID-19," ASIC chair James Shipton said. "We also acknowledge that they are taking special measures to support their customers who are adversely affected. We expect ...
Get on top of non-financial risk: ASIC
HARRISON WORLEY  |  WEDNESDAY, 2 OCT 2019
... effective manner," ASIC said. "Boards cannot afford to ignore the oversight of non-financial risks," ASIC chair James Shipton said. "As we have seen, all risk can have financial consequences. If not well managed, non-financial risks carry very real financial ...
ASIC prepares to be primary super conduct regulator
ELIZABETH MCARTHUR  |  THURSDAY, 12 SEP 2019
... court action ASIC has taken against Select AFSL, Dover and NAB as a result of the Royal Commission. ASIC chair James Shipton said: "As we have seen in recent weeks, a number of those referrals and case studies are before the courts, and we have more ...
Fairness key to meaningful change: Shipton
HARRISON WORLEY  |  MONDAY, 20 MAY 2019
... financial system to really improve, fairness needs to be embedded into financial institutions, according to ASIC chair James Shipton. Opening ASIC's annual forum in Sydney recently, Shipton said the concept of fairness needs to be embedded "into every ...
Former planner charged with dishonesty
HARRISON WORLEY  |  FRIDAY, 30 NOV 2018
... allegedly used to facilitate his dishonesty, paving the way for the charges to be laid. ASIC's action comes after chair James Shipton faced the Royal Commission last week in Sydney. During the hearing, Shipton said he was in favour of applying the Banking ...
BEAR should be expanded, ASIC included: Shipton
JAMIE WILLIAMSON  |  FRIDAY, 23 NOV 2018
ASIC chair James Shipton said he is in favour of applying the Banking Executive Accountability Regime to senior ASIC staff while being quizzed on the regulator's current governance. After telling Senior Counsel Assisting Rowena Orr that he believes ...
Royal Commission: ASIC rethinks negotiation tactics
KARREN VERGARA  |  FRIDAY, 23 NOV 2018
ASIC chair James Shipton has admitted the corporate regulator was too reliant on negotiating resolutions with financial services firms and flagged litigation could take precedence, the Royal Commission heard. Shipton told counsel assisting Rowena Orr ...
Bank-owned advice firm requests ASIC extension
DARREN SNYDER  |  MONDAY, 22 OCT 2018
Highlighting the point ASIC chair James Shipton made about slow and delayed responses from Australia's financial institutions , a bank's financial advice subsidiary has sought an extension to complete a major report as part of its enforceable undertaking. ...
Post Royal Commission change is all talk: Shipton
JAMIE WILLIAMSON  |  MONDAY, 22 OCT 2018
... experiencing deliberate delays from financial institutions in meeting reporting requirements. On Friday, ASIC chair James Shipton told the Parliamentary Joint Committee on Corporations and Financial Services that the regulator is still experiencing "slow ...
PAGE:
1
PREVIOUS
NEXT
Link to something vZEhZsuD