ASIC welcomes second ASX market resilience consultation
ASIC has welcomed the latest ASX industry consultation on improving market resilience, following the exchanges outage in November 2020.
Source: financialstandard.com.au
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ASIC finds shortcomings in wholesale market practices
ASIC has released two reports on better and poorer practices in wholesale financial markets, encouraging participants in these markets to benchmark themselves against industry standards.
Source: financialstandard.com.au
New report flags the good, bad and ugly of wholesale markets
ASIC is calling on the major banks, Macquarie and JP Morgan, to benchmark themselves against a new report regarding conflicts of interest in wholesale markets.
New Zealand National Association National Australia Bank Limited Macquarie Group Jpmorgan Chase Bank Zealand Banking Group Limited
Source: mortgagebusiness.com.au
House Of Representatives Standing Committee On Economics - Opening Statement - 11 October 2022 - Speech By ASIC Chair Joe Longo To The House Of Representatives Standing Committee On Economics, 11 October 2022.
<p><span>I am pleased to appear before the Committee once more and welcome Dr Daniel Mulino as the new Committee Chair. I am joined today by Deputy Chairs Sarah Court and Karen Chester, Commissioners Sean Hughes and Danielle Press, Chief Operating Officer Warren Day, Executive Director of Strategy Greg Kirk and our General Counsel Chris Savundra.</span></p>
Chris Savundra Sean Hughes Karen Chester Daniel Mulino Greg Kirk Financial Regulator Assessment Authority
Source: mondovisione.com
ASIC: Licensing And Professional Registration Activities
<p><span>ASIC has today released its annual licensing report. Report 738</span><span>&nbsp;Licensing and professional registration activities: 2022 update</span><span>&nbsp;(</span><a data-anchor="#" title="REP 738 Licensing and professional registration activities: 2022 update" href="https://asic.gov.au/regulatory-resources/find-a-document/reports/rep-738-licensing-and-professional-registration-activities-2022-update/...
New South Wales Financial Regulator Assessment Authority Danielle Press Commissioner Press Liaison Events
Source: mondovisione.com
BFID no hindrance to helping vulnerable members: Panel
More needs to be done to protect the super sectors most vulnerable members, with the Conference for Major Super Funds being told that doing so would be a breach of the best financial interest duty is a myth.
Source: financialstandard.com.au
Former FCA jailed for 10 years
A former Fellow Chartered Accountant has now been sentenced to 10 years in jail after pleading guilty to deceiving clients in the use of their SMSF money.
New Zealand Aidan Curtis Sophie David George Nowak Charterhill Group Ej Property Developments Pty Ltd
Source: accountantsdaily.com.au
ASIC takes aim at Robinhood-style brokers
Securities lending and marketing brokerage as ‘zero-cost’ are raising flags at ASIC.
Source: afr.com
ASIC Warns Brokers Considering High-Risk Offers To Retail Investors
<p><span>ASIC is warning brokers to be careful about or reconsider offering high-risk products and services to retail investors, such as securities lending, crypto-assets and offers of &lsquo;zero&rsquo; or &lsquo;low-cost&rsquo; brokerage - where the true cost is masked.</span></p>
Source: mondovisione.com
ASIC issues warning over brokers' high-risk offers
ASIC has told brokers to be careful about or to reconsider offering high-risk products and services to retail investors as an increasing number offer securities trading.
Source: financialstandard.com.au