|Search Results||Showing 1 - 10 of 20 results for "Mark Steward"|
|... Phoenix Group, is due to complete by the end of 2019. FCA executive director of enforcement and market oversight Mark Steward said SLA's controls needed to place fairness to customers at their heart. "Here, the financial incentives available to ...|
|... services firms must be authorised by the FCA. FCA executive director of enforcement and market oversight, Mark Steward, said it was important for citizens to always do their own research. "We're warning the public to be suspicious of adverts ...|
|... to the FCA were accurate and complete," the FCA said. FCA executive director of enforcement and market oversight Mark Steward said Goldman had failed to manage and test controls vitally important to the integrity of the UK's markets. "These were ...|
|... would have forked out £39.4 million ($72.7m). FCA executive director of enforcement and market oversight Mark Steward said firms must have proper systems and controls to identify what transactions they have carried out; in which markets; at ...|
|... ban will be applied in appropriate cases in order to protect the public," says ASIC's director of enforcement Mark Steward. ASIC found Michel Hendricus Ruurda falsified client records while employed as a proper authority holder and dishonestly ...|
|... loans from other clients rather than for investment purposes. ASIC deputy executive director of enforcement Mark Steward says, "Advisers must not advise or encourage clients to make investments outside the limits or terms of the authority ...|
|... cover taken out. Mr Burton-Clay's fraudulent activities allowed him to receive $530,920 of his clients' monies. Mark Steward deputy director of enforcement for ASIC said Mr Burton-Clay had deliberately engaged in deceptive conduct caused people ...|
|... are placed in investments that are likely to satisfy their needs and without exposing them to risks with which those clients would be uncomfortable if they were properly informed about those risks," ASIC's director of enforcement Mark Steward said.|
|... that convicted people not be involved in the management of companies," said ASIC director of enforcement Mark Steward. "ASIC will take action to ensure that disqualified people who participate in the management of companies are brought ...|
|... "These investments promised unrealistically high returns of up to 50 per cent," ASIC's director of enforcement Mark Steward said. "These kinds of promised returns almost inevitably result in losses. Investors should remember if it sounds too good ...|
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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