Articles tagged with 'regulator'

Executive salaries about structure, not quantum

02:00 PM | APRA indicates the level of executive remuneration is not as important as the structure.


APRA backs Gov't guarantee

3 December 2008 | Senior APRA official backs guarantee as 'prudent and necessary'.


Queensland adviser banned

2 December 2008 | E-mails lead to banning by ASIC.


ASIC urges discipline on rumour mill

28 November 2008 | Regulator warns publicly-listed companies need to be more disciplined.


First Westpoint class action settled

28 November 2008 | ASIC class action results in private settlements against Masu Financial Management.


Conviction over $4.2m misappropriation

26 November 2008 | Sydney man convicted over unlicensed scheme.


Melbourne man pleads on super charges

17 November 2008 | ASIC prosecution results in 70-year-old Melbourne man pleading guilty.


ING acts to unfreeze pensions

4 November 2008 | Joins list of fund managers easing access for pensions affected by frozen redemptions.


APRA hints at executive remuneration approach

24 October 2008 | Regulator sends clear message on follies of short-termism.


Further refinements to short selling arrangements

25 September 2008 | ASIC spells out further changes to short selling arrangements.


Fifty seven funds placed ‘on hold’

23 September 2008 | Short selling ban impacts 57 funds from 25 managers.


ASIC extends market manipulation probe

18 September 2008 | Macquarie named among companies subject to alleged false rumours.


Regulator warns funds on spruiking short-term returns

18 September 2008 | APRA executive critical of funds that spruik short-term returns and remain silent on reverses.


ASIC talks to APRA on Members Equity

4 September 2008 | Regulator discusses possible super fund conflicts in response to Parliamentary Committee.


New ASIC shadow shop in 2009-10

4 September 2008 | ASIC reveals intentions to Parliamentary Committee.


ASIC talks to APRA on Members Equity

4 September 2008 | Regulator discusses possible super fund conflicts in response to Parliamentary Committee.


New ASIC shadow shop in 2009-10

4 September 2008 | ASIC reveals intentions to Parliamentary Committee.


Tougher guidelines on unlisted schemes

3 September 2008 | ASIC unveils tighter disclosure regime for unlisted mortgage and property schemes.


Precedent in SIS Act SMSF prosecution

3 September 2008 | Trustee pleads guilty in face of ASIC and ATO charges.


Tougher guidelines on unlisted schemes

3 September 2008 | ASIC unveils tighter disclosure regime for unlisted mortgage and property schemes.


Precedent in SIS Act SMSF prosecution

3 September 2008 | Trustee pleads guilty in face of ASIC and ATO charges.


Bristow banned for six years

1 September 2008 | Westpoint fallout continues as adviser and son are banned.


Bristow banned for six years

1 September 2008 | Westpoint fallout continues as adviser and son are banned.


Former Brisbane planner jailed

21 August 2008 | Pleads guilty to eight charges brought by ASIC.


ASIC’s ‘flexible’ approach on FHSA advice

21 August 2008 | Outlines training requirements for providing FHSA advice.


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Super Regulation Should superannuation funds be compelled to suspend advertising capable of persuading uninformed investors to crystallise losses?
Yes
 
86%
No
 
14%
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