All posts tagged "James Shipton"
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363Australia & NZTreasury Announces New Chair, Deputy Chair for ASIC
The Treasury also said will introduce legislation by mid-year to establish the FRAA, a new body to oversee the performance of ASIC and APRA.
May 1, 2021 -
225Australia & NZ
ASIC Reassesses Tools for Enforcing Disclosure Rules
ASIC is assessing how changes to continuous disclosure laws will affect the practicality of issuing infringement notices.
March 31, 2021 -
291Australia & NZ
ASIC Governance Review Clears Chairman of Wrongdoing
James Shipton has temporarily returned to his role as chair, but will step down in the coming months. Treasury will search for a new chairperson.
February 2, 2021 -
4.5KContributed ArticleCulture Audits: Removing the Blindfold
To avoid individual liability, leaders along all Three Lines of Defence must identify indicators of non-financial risk that permit “upstream” interventions, say Stephen Scott and Mark Cooke.
August 3, 2020 -
613Australia & NZ
ASIC Directs Listed Firms to Disclose Covid-19 Impacts
Firms should "tell the story" of how their businesses are impacted by the Covid-19 pandemic, including support and assistance received from government, lenders, landlords and others.
July 9, 2020 -
555Australia & NZ
ASIC Shifts Focus to Ensure Market Integrity, Protect Consumers
Covid-19 has raised the risk of significant consumer harm and serious breaches of financial services laws, says ASIC chair James Shipton.
April 14, 2020 -
495Australia & NZASIC, APRA Ink Updated MoU to Enhance Collaboration
The updated MoU was a royal commission recommendation to enable more proactive engagement between the two regulators.
December 2, 2019 -
561Australia & NZ
ASIC, ESMA Sign MOU to Cooperate on Benchmarks
The MoU sets out cooperation arrangements to complement the EU’s July equivalence decision, as well as to ensure effective information exchange and supervisory coordination.
October 22, 2019 -
718Australia & NZ
ASIC Review Finds Non-financial Risk Oversight Lacking
ASIC says the boards of listed companies need to review their governance practices and accountability structures to ensure effective management of non-financial risks.
October 2, 2019 -
668Australia & NZ
ASIC Issues Second Update on Response to Royal Commission
Of 105 investigations and court actions underway against financial institutions at the end of July, 86 related to the big four banks and AMP.
September 13, 2019
