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|ASIC has banned a Hobart-based financial adviser from providing financial services for five years after he encouraged clients to inappropriately double gear their investments. Meritum Financial Group authorised representative David Horton has been banned ...|
|The Federal Court has taken action to dissolve an unregistered investment scheme operated by a former AMP authorised representative. MyWealth Manager was operated by Mustafa Mohammed, along with Mahek Mustafa, Mubashir Mohammed. The scheme related to ...|
|... services that require a license. Now there are suggestions debt management and credit repair firms held to the kind of regulatory and ethical standards financial advisers are held to. The Consumer Action Law Centre wants these debt assistance providers ...|
|... crafted." Miller said the world has hit an inflection point when it comes to policy with "tectonic shifts" in both the regulatory and macro fronts. "Investors too, are at a crossroads. Bond yields are at historic lows, and while listed equities are not ...|
|... be excluded from obtaining life insurance cover. McCormack said he was encouraged that it looked like the "door to regulatory reform is more open" that it had been previously. Mu agreed with Hume that he hopes to see more early intervention and the ability ...|
|... services and channels," the report said. "Unfortunately, at the moment, the opposite is the case. Recent policy and regulatory changes and others currently being consider threaten to make insurance harder for Australians to access." It said for many ...|
|... boards, Class Actions Australia said. Similarly, during the hearing, Professor Sulette Lombard argued that additional regulatory oversight would not generate the optimal outcome for the judicial system. "I do have concerns on the emphasis on securities ...|
|... "Financial advisers were already facing a raft of challenges, as the industry undergoes significant adjustments and regulatory requirements such as the Best Interest Duty were resulting in a greater focus on the fees and benefits of investment solutions ...|
|... NULIS said it intends to explore opportunities to enhance its intra-fund advice offering, but requires more concise regulatory definitions before it can proceed. In a written response submitted to the House of Representatives Standing Committee on Economics ...|
|UBS will cough up more than $14 million (US$10 million) after the US Securities and Exchange Commission found it had violated rules giving retail investors priority in municipal bond offerings. According to the SEC, UBS improperly allocated bonds intended ...|
Allowing more members in SMSFs is unlikely to spur their establishment rates, according to a submission by University of Sydney's Susan Thorp.
One of Japan's largest providers of shareholder services has admitted to a major operational blunder, after it failed to count 3.4 million postal votes for nearly 1000 companies ahead of their annual general meetings.
BetaShares' Nasdaq 100 ETF exceeded $1 billion in assets under management at the end of August, a net increase of more than $500 million since the outset of the year.
Robeco announced it will now exclude investments in thermal coal, oil sands and Arctic drilling from all its mutual funds.
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