Search results
Results From The WOW.Com Content Network
The Corporations Act 2001 sets up a uniform approach to the regulation of financial services through a uniform licensing and disclosure regime. The general regulatory position is that a person (whether an individual or corporate entity) carrying on a financial services business in Australia must, unless exempted, hold an Australian financial services licence (AFSL) issued by ASIC.
The Australian Securities and Investments Commission (ASIC) is an independent commission of the Australian Government tasked as the national corporate regulator. ASIC's role is to regulate company and financial services and enforce laws to protect Australian consumers, investors and creditors. [2]
The main body of substantive law about securities is found in the Corporations Act 2001 (Cth), as well as the regulations made under that Act. Whilst much of the law is derived from earlier regulation (especially the bust in Australian mineral stocks of the late 1960s), the sections relating to securities regulation have been subject to recent amendment.
Central Financial Commission (CFC) ; Central Financial Work Commission (CFWC) ; National Administration of Financial Regulation (NAFR) ; China Securities Regulatory Commission (CSRC) Colombia: Superintendencia Financiera de Colombia: Comoros: Central Bank of the Comoros ; Regional Insurance Control Commission (CRCA) Democratic Republic of the Congo
The Corporations Act 2001 is an Act of the Parliament of Australia, which sets out the laws dealing with business entities in Australia. The company is the Act's primary focus, but other entities, such as partnerships and managed investment schemes, are also regulated.
The term ‘financial planner' can apply to a broad range of professionals, including accountants, insurance agents and investment advisors. If you work in any of those capacities or a related ...
Bank stocks rose after Fed Vice Chair Michael Barr stepped down from his banking regulator role. Banks, investors are anticipating more lenient rules
Total employment in the finance industry (thousands of people) since 1984. Participants in the financial system consist of commercial banks, investment banks, finance companies, building or cooperative societies, credit unions, friendly societies, non bank financial institutions (NBFI), superannuation and approved deposit funds, public unit trusts, cash management trusts, mortgage originators ...