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Showing 1041 - 1050 of 4101 results for "Conduct"

Former adviser hit with three-year ban

KARREN VERGARA  |  FRIDAY, 4 JUN 2021
... representative for MyPlanner Professional Services and Total Financial Solutions Australia. ASIC investigated Smith's conduct during his employment with the two licensees, finding he failed to do a number of basic procedural requirements. He began practicing ...

KPMG names risk consulting partners

ANNABELLE DICKSON  |  FRIDAY, 4 JUN 2021
... significant challenges and opportunities in areas such as risk strategy, risk governance and operating models, risk culture and conduct, control environments and regulatory driven transformation. This recruitment bolsters KPMG's capacity to meet growing ...

Forex CT cops $20 million fine

ANNABELLE DICKSON  |  WEDNESDAY, 2 JUN 2021
... Federal Court has handed down a $20 million penalty to Forex Capital Trading for engaging in a system of unconscionable conduct, including the use of high-pressure sales tactics, conflicted remuneration and failing to act in the best interests of clients. ...

How noise impacts trading performance

ELIZABETH MCARTHUR  |  WEDNESDAY, 2 JUN 2021
Did trading desks perform better or worse when they were forced to work from home last year? That is the question UNSW Business school researchers sought to answer. A study by UNSW Business School associate professors Elise Payzan-LeNestour and James ...

Investors move to thematic funds

ANNABELLE DICKSON  |  TUESDAY, 1 JUN 2021
... as single-stock substitutes for those investors looking to express view on a theme but lacking the resources needed to conduct due diligence on individual companies."

Global Merces MD cops ASIC ban

KARREN VERGARA  |  MONDAY, 31 MAY 2021
... for six months. ASIC's banning order is in addition to the criminal charges Grofski is facing, which alleges dishonest conduct around the fund's operation. The ban will prevent Grofski from controlling or managing a company in financial services until ...

AMP sued for charging dead clients

JAMIE WILLIAMSON  |  THURSDAY, 27 MAY 2021
... AMP Life Limited, AMP Financial Planning Proprietary Limited; AMP Services Limited. AMP Life was part of AMP when the conduct occurred, but has since been acquired by Resolution Life. ASIC alleges the companies deducted life insurance premiums and financial ...

UniSuper names next chief executive

KANIKA SOOD  |  WEDNESDAY, 26 MAY 2021
The $95 billion superannuation fund has picked an external candidate to replace outgoing chief executive Kevin O'Sullivan. Peter Chun will replace O'Sullivan, who earlier this year announced his retirement after eight years in the role. Chun ...

Research reveals factors influencing advice

JAMIE WILLIAMSON  |  WEDNESDAY, 26 MAY 2021
A study which saw financial advisers providing advice for hypothetical clients found glaring inconsistencies in risk assessments, with suggestions an adviser's own circumstances can influence the advice provided. The data from Oxford Risk shows, when ...

UBS, Nomura cop fines over bond cartel

KANIKA SOOD  |  TUESDAY, 25 MAY 2021
UBS, Nomura and UniCredit were fined a total of $585 million by the European Commission for cartel conduct in government bond trading during the GFC. EC says the three investment banks breached antitrust rules through the participation of a group of ...