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Showing 1061 - 1070 of 4101 results for "Conduct"

Westpac to face court over insider trading

JAMIE WILLIAMSON  |  WEDNESDAY, 5 MAY 2021
... entities. Westpac will face off against the regulator in the Federal Court on allegations of insider trading, unconscionable conduct and breaches of its AFSL obligations in relation to interest rate hedging undertaking during a $12 billion interest rate ...

Adviser faced with further dishonesty charges

ANNABELLE DICKSON  |  MONDAY, 3 MAY 2021
A Western Australian financial adviser has been charged with 12 more counts of dishonest conduct and three counts of false documentation in addition to previous charges for stealing super. Rahul Goel was first charged with four counts of dishonest conduct ...

Go, iron ore, go

BENJAMIN ONG  |  WEDNESDAY, 28 APR 2021
Just a wittle more, a wittle more... Yes Virginia, just another US$12.71 per tonne (6.6%) and the spot price of iron ore will be line ball with the all-time high of US$191.70 a tonne it set way back a decade earlier (February 2011). For sure, there ...

How managers win ESG mandates

ELIZABETH MCARTHUR  |  TUESDAY, 27 APR 2021
New research from Investment Trends has revealed how investors choose ESG product providers, and it's bad news for some of the big names in funds management. According to the research, conducted by Investment Trends and Australian Ethical, 87% of ...

FPA launches file note guidance

ELIZABETH MCARTHUR  |  MONDAY, 26 APR 2021
... persuasive than a client's unsupported recollection of a discussion. It also allows advisers to demonstrate that their conduct was consistent with appropriate professional standards. "File notes no longer need to be paper-based. There are new and more ...

IOOF licensees to take remedial action

JAMIE WILLIAMSON  |  MONDAY, 26 APR 2021
... 2017 and May 2018. Earlier that year, IOOF settled a class action brought by Quinn Emanuel Urqhart & Sullivan over the conduct of IOOF Investment Management and Questor Financial Services.

Super top ups increase: Survey

KARREN VERGARA  |  THURSDAY, 22 APR 2021
While only one in five (20%) Australians make extra contributions to their superannuation per month, it marks a growing number of members who are thinking more about their retirement balances, a new survey found. Finder's March 2021 survey of 1015 consumers ...

Former adviser pleads guilty over million-dollar super theft

ANNABELLE DICKSON  |  THURSDAY, 22 APR 2021
... latest development follows ASIC permanently banning Saad from providing financial services in December 2018 after the conduct was reported by Apogee. Saad was the sole director of Saad Wealth and was an authorised representative of Apogee from 10 April ...

Afterpay reveals US plans, economic impact

JAMIE WILLIAMSON  |  WEDNESDAY, 21 APR 2021
With consumers in the US now contributing the most to Afterpay's business, the BNPL provider has set in motion plans to list there as new research shows the economic impact of the service. Revealed in a quarterly update yesterday, Afterpay is working ...

Government merges advice reviews

KARREN VERGARA  |  WEDNESDAY, 21 APR 2021
The federal government will fold the 2022 Life Insurance Framework Review into the Quality of Advice Review, taking over the responsibilities from ASIC. The Quality of Advice Review will consider the LIF Review as part of its wider mandate, Minister ...