Search Results | Showing 11 - 20 of 148 results for "Financial Services Royal Commission" |
| | ... and real estate representatives. Introducer programs received considerable criticism in the Financial Services Royal Commission. ASIC alleges that between June 2016 and March 2018, ANZ breached consumer protection credit laws by accepting customer information ... |
| | | ... ahead with mandating independent certifications within group insurance as recommended by the financial services Royal Commission. In a letter to registrable superannuation entity licensees, APRA clarified its position on Commissioner Hayne's Recommendation ... |
| | | ... the manner they see fit while still complying with the law. This is a far cry from the 2018 financial services Royal Commission, which exposed ASIC as a toothless tiger that preferred to negotiate fines with big organisations over long lunches rather ... |
| | | ... charging an ongoing fee, an hourly rate or a fixed price or an asset-based fee, it found. The financial services Royal Commission recommended an end to the grandfathering of conflicted remuneration paid to financial advisers as soon as practicable under ... |
| | | ... parliament. The legislation noted: "While both regulators are accountable to the parliament, the Financial Services Royal Commission noted that parliamentary committees, including Senate Estimates, have some limitations in assessing the effectiveness ... |
| | | ... "prolonged under-investment" in its systems, compliance and controls as first exposed by the financial services Royal Commission, which enabled customers to be charged millions of dollars in fees unbeknownst to them. ASIC alleges that the contraventions ... |
| | | ... advice that reduces costly red tape on industry and maximises outcomes for consumers. The financial services Royal Commission recommended the annual renewal obligations in a bid to stamp out the fee-for-no-service problem that plagued the advice industry. ... |
| | | ... determine the impact that these changes may have had on the moral reasoning of advisers. The financial services Royal Commission mandated the professionalisation of advisers, forcing them to undertake further study and abide by a national code of ethics. ... |
| | | The financial adviser population has reverted to the pre-financial services Royal Commission days, ending at 20,667 in the first quarter of 2021. Rainmaker analysis of ASIC's Financial Adviser Register found that the total number of financial advisers ... |
| | | ... brokers. "We support the reform goals to promote consistent, timely and high-quality reports. The Financial Services Royal Commission expressed concern about prolonged and repeated failures by large entities to make breach reports required by the law," ... |
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