James Shipton

Features

Mike Taylor writes that less than 12 months out from the Australian Securities and Investments Commission’s review of the Life Insurance Framework, the Australian life in...

Financial planning

ASIC not looking into AMP BOLR issue

The corporate regulator’s chair, James Shipton has said that the watchdog would not look into AMP’s buyer of last resort arrangements unless there were further and better...

Policy & Regulation

9 out of 10 super funds investigated by ASIC were retail funds

The Australian Securities and Investments Commission has investigated 10 superannuation funds in the past four years – nine of them were retail funds....

Policy & Regulation

We treat retail and industry funds equally says ASIC

The chair of the Australian Securities and Investments Commission, James Shipton has declared the regulator treats industry and retail funds equally....

Policy & Regulation

ASIC joins forces with EU regulator on benchmarking

The Australian Securities and Investment Commission has signed a Memorandum of Understanding with the European Securities and Markets Authority regarding financial benchm...

Financial planning

ASIC’s Shipton: Australia ‘missed opportunity’ to prevent RC issues

The industry took a “she’ll be right” attitude in the decade after the GFC where it acted as if nothing was wrong, according to ASIC commissioner James Shipton....

Policy & Regulation

ASIC concerned about investment funds consolidation

Australian Securities and Investments Commission chairman, James Shipton, has pointed to regulatory concerns about the consolidation of investment funds and the consequen...

Policy & Regulation

ASIC urges companies improve compliance risk management

The Australian Securities and Investments Commission has urged a ‘sense of urgency’ be applied by companies to their non-financial risks, including compliance risk. ...

Financial planning

How ASIC ran out of pages to explain grandfathering fall-out

The Australian Securities and Investments Commission chairman, James Shipton, has claimed the regulator simply didn’t have enough pages to explain the implications of end...

Financial planning

ASIC outlines crackdown on super advice

The Australian Securities and Investments Commission has signalled a tougher and more targeted approach to advice within superannuation....

Policy & Regulation

ASIC chair issues industry ‘fairness challenge’

Australian Securities and Investments Commission (ASIC) chair James Shipton has issued a ‘fairness challenge’ to the financial services industry....

Policy & Regulation

ASIC clarifies litigation approach

The Australian Securities and Investments Commission has clarified the circumstances in which it is likely to litigate financial services breaches....

Policy & Regulation

Are there still things to hide in financial services?

The chairman of the Australian Securities and Investments Commission, James Shipton has suggested that those who are pushing back against the regulator may still have som...

Outsider

High cost of putting writing on the wall for ASIC

Outsider is prepared to bet that when the team at ASIC were ticking off their 2018 unfinished business list just before Christmas, they thought it possible that no-one wo...

Policy & Regulation

ASIC reveals 50% increase in enforcement investigations

The Australian Securities and Investments Commission has revealed a 50 per cent increase in enforcement investigations of misconduct on the part of the major financial in...