|Search Results||Showing 1 - 10 of 100+ results for "Regulatory"|
|A 73-year-old man from Nowra in New South Wales is facing two years imprisonment for giving false or misleading information to ASIC about shareholding. John Lindsay Merity was sentenced to a term of two years imprisonment, with a minimum of one year ...|
|... insurance requirements for financial advice licensees," she said. "The introduction of a CSLR without strengthening the regulatory weaknesses in advice will result in an incredibly costly shortcut which won't address the underlying issues leading ...|
|ASIC has cracked down on a number of auditors of self-managed super funds, which the regulator said have failed to meet their requirements. "ASIC has moved to disqualify, or suspend and/or add conditions to the registration of, a number of auditors ...|
|... which was strengthened by a Memorandum of Understanding updated last year. "All trustees have an interest in a robust regulatory system, without gaps in member protection," Press said. "We want to assure trustees that ASIC and APRA will work together ...|
|A JPMorgan executive has told the court that there was an agreement between JPMorgan, Deutsche Bank and Citigroup to withhold ANZ shares from the market. Speaking to the court for the ongoing case surrounding the $2.5 billion ANZ share sale, ex-JPMorgan ...|
|... remains challenging," it said. "This may defer exit beyond FY20. Any transaction remains subject to market conditions, regulatory and other approvals." However, NAB said it continues to make progress towards a separation of MLC Wealth. "We are targeting ...|
|... installment of its annual ACSA Awards during the Investment Operations Conference in Sydney. The association recognised HSBC regulatory compliance manager Siv Vijayanathan, and JP Morgan vice president of marketing and communications, Teri Thomas. ACSA ...|
|... said it will continue to monitor trustee communications in relation to PYSP and related reforms and consider taking regulatory action where further issues are identified.|
|Six of Australia's largest banking and financial services institutions have so far paid, or offered, a total of $749.7 million in compensation to customers, according to new data released by ASIC. The regulator said AMP, ANZ, CBA, Macquarie, NAB and ...|
|... leadership capability and fresh perspective. [Gazal's] extensive global experience leading teams through times of regulatory change to improve governance and efficiency will be a great asset to Perpetual." Gazal said: "I am very excited to be joining ...|
An activist short seller that accused an ASX-listed agricultural fund of running "scams" was dealt a blow in a Supreme Court judgment handed down yesterday.
The $55 billion industry fund is hiking the cost of its standard insurance cover for most of its members, with those aged 55 to 64 years to be the worst hit.
A former Macquarie Group financial adviser has been permanently banned from the industry, following an ASIC investigation into the adviser's "dishonest" and "misleading" behaviour.
It's the end of the road for a BT multi-asset fund managed by Pendal after 52 years, as investor demand ebbs out.
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