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Regulation

Staff Reporter

A bill that closes a loophole permitting over-the-counter derivatives providers to use client monies for more than just derivatives transactions has passed the upper house.

Staff Reporter

The corporate regulator has issued new guidance for responsible entities in an effort to improve risk management systems.

Staff Reporter

A judge has dismissed claims from a client that negligent advice from Commonwealth Bank-owned Count Financial resulted in the loss of their life savings.

Staff Reporter

The corporate regulator announced yesterday it has cancelled the Australian Financial Services Licence of Singapore-based property investment company Aquaint Capital.

Tim Stewart

The big bank “oligopoly” in Australia can only be broken up if the regulator has the power to make rules about remuneration structures, says ASIC chairman Greg Medcraft.

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Appointments

Tom Garcia, AIST, Eva Scheerlinck

Staff Reporter

Insyn Funds Management, Monik Kotecha, John Lobb, Global Titans, portfolio management, equity investment, global equity

Staff Reporter

Mark Beardow, AMP Capital, Adam Tindall, AMP

Tim Stewart

Analysis

Simon Shields, Monash Investors, goals based advice, wealth management, global financial crisis, investment management, ausbiz

Simon Shields

Sequential, Ruth Keaney, insurance, insurance claims, underwriting, Financial Services Council, FSC Guidance Note 33, SPS 250, APRA

Ruth Keaney

ASIC, fintech regulation, Airwallex, Jack Zhang, fintech law, innovation, financial services,

Jack Zhang

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