15 June 2017 • By • 1 min read
The Hong Kong Securities and Futures Commission (SFC) has signed a co-operation agreement with ASIC on financial innovation. The agreement between ...
READ MOREASIC’s recent surveillance of responsible entities has found a number of compliance areas in which they ‘fell short’ of their legal obligations
READ MORERegulatory action against Macquarie Equities for “compliance deficiencies” commenced in 2014 is now “substantially complete”, with $24
READ MOREASIC has fined an equities and derivatives managed discretionary account (MDA) provider for making false or misleading statements on its website
READ MOREASIC has cancelled the Australian financial services licence (AFSL) of Sydney-based firm Investment Advisers Alliance. Investment Advisers ...
READ MOREASIC deputy chairman Peter Kell has made the case for stronger banning powers, tougher supervision and higher penalties for wrong-doers
READ MOREThe government’s major bank levy is likely to have “unintended and disproportionate” consequences on Macquarie's local earnings given the group’s ...
READ MOREThe government’s proposal that APRA be given powers to monitor bank executive conduct should be extended to the superannuation and insurance sectors, ...
READ MOREASIC has cancelled the Australian financial services licence of Gallop International Group. According to a statement, ASIC has cancelled the AFSL ...
READ MOREThe corporate regulator has proposed a number of new initiatives designed to trial RegTech capabilities and identify possible implementation ...
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