|Search Results||Showing 1 - 10 of 100+ results for "ASIC"|
|... the parliament by the end of this year, including ending grandfathered commissions for financial advisers and acting on ASIC's enforcement review by expanding the corporate regulator's power to ban people in the financial services sector. ...|
|In ASIC's latest enforcement update, the regulator has made clear it is accelerating enforcement action now that the Office of Enforcement is open for business. From January to June 2019, 10 individuals were charged in criminal proceedings brought ...|
|A financial adviser previously banned by ASIC has found himself in hot water again. Tarandeep Aujla has been banned from providing financial services for three years by the corporate regulator for failing to act in the best interests of his ...|
|The Federal Court has dismissed ASIC's case against Westpac, alleging it breached responsible lending practices for home loans. ASIC alleged that between December 2011 and March 2015, the bank failed to properly assess whether borrowers could meet ...|
|... options such as ETFs. "Just because a wealth manager has a website and an app doesn't make it a robo adviser [ASIC money smart has a website for example]," Dunnin said. Rainmaker research also found that most robo advisers in Australia ...|
|Since the end of the Royal Commission, ASIC has been collecting information from platforms on the fees they charge and the financial advisers using them. In a letter obtained by Financial Standard , ASIC requested the names of every retail client ...|
|... options once she made the decision to go independent. "I feel like they have the scale to survive in the new world. With ASIC 515 and all the extra requirements I had a few people warn me off the smaller licensees who may not be able to," she said. ...|
|A former financial adviser who was banned from providing financial services by ASIC in 2018 has been charged with five counts of dishonest conduct. Mark Damion Kawecki has been charged for allegedly using false or misleading information in ...|
|The corporate regulator is expecting superannuation trustees to have whistleblower policies in place 1 January 2020. ASIC is broadening the whistleblower regime introduced on 1 July 2019 in an effort to reform to the corporate sector. It is ...|
|... which is not permitted for on-market buy-backs as it is not carried out in the ordinary course of trading. According to ASIC, Finclear realised its error after the close of trading day, informed the regulator, and cancelled the special crossing. ...|
A new superannuation fund hoping to bridge the retirement savings gap will launch with the hope of disrupting the system that has disadvantaged women.
The general manager of superannuation and retirement solutions at a $57 billion industry fund has resigned, with the hunt commencing for a replacement.
Praemium saw funds under administration hit $16.1 billion over the last financial year, thanks largely to its off-platform managed accounts service.
OnePath has moved to enhance the abilities of financial advisers using its OneView Life client management portal.
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