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Regulation

regulation

22 September 2016 • By Tim Stewart • 1 min read

Deadline looming for updated PDSs

Responsible entities and superannuation trustees have until 1 February, 2017 to comply with new disclosure rules concerning fees and costs, says Henry ...

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Investment banker charged with insider trading

A former Credit Suisse investment banker has pleaded not guilty to charges of procuring insider trading brought after an ASIC investigation

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ASIC bans alternative investment spruiker

ASIC has banned New Zealand-based Geoffrey Woodcock from providing financial services for four years for promoting Australian financial products ...

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CBA fined, writes off $2.5m in loan balances

The Commonwealth Bank has paid $180,000 in infringement notices and will write off $2.5 million in personal overdraft balances that were issued in ...

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Westpac refunds $9.2m in account fees

Westpac has refunded approximately $9.2 million in account fees to more than 160,000 Westpac and St George account holders, according to ...

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Capital rules won't hurt Aussie major banks

APRA has indicated a willingness to 'bend the rules' when it comes to the Basel III capital requirements to ensure they do not affect Australia's ...

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Contagion risk still remains, says RBA

Regulatory action since the GFC has reduced the systemic risk posed by the 'interconnectedness' of financial entities, but more remains to be ...

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Westpac refunds $20m in credit card fees

Westpac has refunded almost $20 million in credit card fees, after not clearly explaining which kinds of purchases would incur foreign transaction ...

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ASIC fines Morgan Stanley $123,750

Morgan Stanley has paid a $123,750 penalty fee to ASIC after being issued an infringement notice by the Markets Disciplinary Panel. The notice was ...

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FOS review points to 'inappropriate advice'

The annual review of the Financial Ombudsman Service (FOS) has highlighted inappropriate advice as the main reason for investments and advice disputes ...

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