Search Results | Showing 91 - 100 of 589 results for "Misconduct" |
| | ... experience indicates that a flexible and creative use of regulatory tools is important in acting quickly to disrupt misconduct. We encourage a broad range of stakeholders - including retail investors, financial consumers, and market participants - to ... |
| | | ... seeking feedback on how and when the Financial Services and Credit Panel should convene when addressing financial adviser misconduct. Under the newly released Consultation Paper 359 Update to RG 263 Financial Services and Credit Panel, the corporate ... |
| | | ... conduct was serious and systematic. His Honour also highlighted the large number of Aware FS customers affected by this misconduct, noting that remediation of $105 million for this and related conduct has been paid. "Aware FS charged fees to tens of ... |
| | | ... CSLR's jurisdiction to reflect the remit of the Australian Financial Complaints Authority. "Victims of financial misconduct who have received a determination from AFCA deserve access to compensation if their determination goes unpaid. In its current ... |
| | | ... NAB Financial Planning and NAB Private Wealth have remediated most of this amount with respect to fees for no service misconduct, NAB's former subsidiaries have not. According to ASIC's latest compensation tally, Apogee Financial Planning, Godfrey ... |
| | | ... law, economics, accounting, taxation and credit activities and credit services," Hume said. "Financial advisers' misconduct will therefore be assessed and sanctioned by their peers, driving further improvements in the industry." |
| | | ... pathway," the AFA said. "Sanctions could arise as a result of less material matters and in circumstances where the misconduct was entirely unintentional." Highlighting results from its own survey of members, the AFA's submission shows 79.8% of respondents ... |
| | | ... schemes, funeral insurance policies and debt management firms. "Ultimately, this scheme is about who bears the costs of misconduct in the system, and, unless the parliament improves the scheme proposed by the government, we'll continue to see individuals ... |
| | | ... misled and deceived investors. The notice of appeal was filed on the same day Mayfair was fined $30 million for the misconduct. Mayfair's appeal claims the court made a mistake in reaching its decision that Mayfair had engaged in misleading or deceptive ... |
| | | The professional body for personal financial planners in the US welcomed its new chair this year. Kamila Elliott took the helm of the CFP Board, becoming the first African American to serve as the chair. Elliott is currently the president of Grid 202 ... |
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