Search ResultsShowing 1 - 6 of 6 results for "Louise Macaulay"
Paraplanners tackle compliance challenges
ELIZABETH MCARTHUR  |  WEDNESDAY, 27 NOV 2019
... read out some comments from ASIC which clarified points on product replacement. She relayed a comment by ASIC's Louise Macaulay: "ASIC frequently sees advice that recommends a new product which does not improve the client's overall position." And another ...
Royal Commission sees increased ASIC, APRA funding
ALEX BURKE  |  TUESDAY, 8 MAY 2018
... Assisting Rowena Orr during the Royal Commission. The regulator's senior executive leader - financial advisers, Louise Macaulay, was asked about the manner in which ASIC determines breaches are worth investigating, and Macaulay said it had to do with ...
Uncertainty abounds future of advice regulation
JAMIE WILLIAMSON  |  TUESDAY, 1 MAY 2018
... Dante de Gori, AFA chief executive Phil Kewin and ASIC's senior executive leader of the financial advisers team Louise Macaulay suggests the development of a particular regulatory culture in the industry. "Has the existing regulatory culture in the financial ...
ROYAL COMMISSION: Our top stories
JAMIE WILLIAMSON  |  FRIDAY, 27 APR 2018
... advice licensees. Senior Counsel Assisting Rowena Orr asked ASIC senior executive leader - financial advisers, Louise Macaulay, why ASIC did this instead of "exercising its powers", given that it could lead to better outcomes for the licensee being investigated. ...
ASIC grilled over negotiating with banks
ALEX BURKE  |  FRIDAY, 27 APR 2018
... advice licensees. Senior Counsel Assisting Rowena Orr asked ASIC senior executive leader - financial advisers, Louise Macaulay, why ASIC did this instead of "exercising its powers", given that it could lead to better outcomes for the licensee being investigated. ...
ASIC sees potential for "large scale loss" in robo-advice
LAURA MILLAN  |  MONDAY, 23 NOV 2015
... Planning Association (FPA) Congress in Brisbane, ASIC senior executive leader of the financial advisers team, Louise Macaulay, outlined the regulator's strategy to understand the fintech sector. "We are seeing startups and licensees entering the area. ...
PAGE:
1
Link to something lBAYjeGo