Search Results | Showing 271 - 280 of 5478 results for "Regulatory" |
| | | The corporate regulator's bid to run an expanded case against Mayfair 101's James Mawhinney was rejected by the Federal Court yesterday, with the judge saying fresh claims brought by ASIC would place Mawhinney in "significantly greater jeopardy." Having ... |
| | | | ... that the immediate priority for its superannuation plans involves finalising the transaction and obtaining necessary regulatory approvals. However, in the longer term, the company aims to explore opportunities to enhance the Direct platform's functionality ... |
| | | | Piper Alderman is examining a second class action in relation to contracts for difference (CFD) products, this time against International Capital Markets Limited (IC Markets). The action is on behalf of retail investors who claim to have collectively ... |
| | | | The Federal Court has found in favour of Diversa in the case brought by ASIC in 2021 which alleged the trustee knew about a now banned adviser's dodgy behaviour but failed to act. In October 2021, ASIC commenced civil penalty proceedings against ... |
| | | | ... with a new perspective on helping both retail and profit to member super funds succeed in a fast-moving investing and regulatory environment." Notably, Hoven's hire comes after the recent hire of US-based Paul Schutzman as head of solutions, institutional ... |
| | | | Disgraced former PwC head of international tax Peter-John Collins has been banned from providing financial services or controlling an entity that carries on a financial services business for eight years. At the start of the year, Collins was barred ... |
| | | | ... undertake regular reviews or audits of the number of breaches reported and identify any trends in reports, as outlined in Regulatory Guide 78 Breach reporting by AFS licenses and credit licensees (RG 78)," ASIC said. Under the new amendments, licensees ... |
| | | | ... accept she may have learned lessons from this experience - or at least realised she must do more to forestall further regulatory action - but the fact she held herself out and has come to downplay the significance of that conduct is a matter of concern." ... |
| | | | ... additional investment from Irish-based MFM Capital. The sale includes the roughly $1 million in cash the business holds for regulatory capital purposes. The transaction is expected to be completed within the next few months, subject for approval by the ... |
| | | | ... solace in marking its second consecutive year of profits, particularly considering economic uncertainty and an evolving regulatory environment. Interestingly, the top 10 direct insurers were all profitable, in stark contrast to reinsurers, where only ... |
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