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Showing 91 - 100 of 1412 results for "Review of"

Wilsons Advisory fined $550k by ASIC MDP

JAMIE WILLIAMSON  |  FRIDAY, 3 FEB 2023
... Improvement (TWPI). The $548,328 penalty was paid to comply with an infringement notice the MDP issued Wilsons following a review of transactions found 2306 trades were executed away from an order book and reported as TWPI when the trades did not actually ...

ASIC bans Gold Coast businessman

CASSANDRA BALDINI  |  TUESDAY, 31 JAN 2023
... ASIC's banned and disqualified register. Finerty has the right to appeal to the Administrative Appeals Tribunal for a review of the decision.

Ethical, sustainable ETFs top $9bn

RACHEL ALEMBAKIS  |  FRIDAY, 27 JAN 2023
... manager examined its materials in line with Information Sheet 271 on greenwashing, Liddell said. "We did a complete review of all our PDSs and marketing to make sure it's consistent with those principle, and I'm happy to say it pretty much was," ...

APRA slaps conditions on Diversa

JAMIE WILLIAMSON  |  TUESDAY, 24 JAN 2023
... including in relation to high fees and poor investment performance. They seek to codify recommendations of a third-party review of Diversa's operating model, APRA said. Diversa is home to about 320,000 members and over $11 billion in retirement savings. ...

AAT overturns ban on former Spaceship chair

CHLOE WALKER  |  MONDAY, 9 JAN 2023
... responsibility and therefore not his responsibility. In response, Dortkamp lodged an application with the AAT for a review of ASIC's decision, and a hearing took place in early October of last year. Deputy president BW Rayment OAM QC concluded that ...

AustralianSuper announces leadership shakeup

CHLOE WALKER  |  THURSDAY, 15 DEC 2022
... Pascoe will be leaving the fund after nearly four years in the role. "Today's announcements come after an extensive review of the investments leadership team to ensure we have the right structure in place not just for today but to deliver for members ...

APRA, ASIC concerned over premium increases

CHLOE WALKER  |  FRIDAY, 9 DEC 2022
... ongoing manner. ASIC and APRA have also requested that all life companies outline any findings in relation to their review of past premium increases by March 31 next year. For those that can't meet that deadline, they must provide an update at the end ...

Trustees must improve IDR processes: ASIC

JAMIE WILLIAMSON  |  FRIDAY, 9 DEC 2022
... found some superannuation trustees have sub-standard arrangements for managing complaints. The finding is based on a review of 35 trustees, with 10 of those selected for a more detailed review in Stage 2. When it comes to timeframes for handling complaints ...

ALRC should prioritise advice regulations: FPA

CASSANDRA BALDINI  |  THURSDAY, 8 DEC 2022
... Australia (FPA) has said the Australian Law Reform Commission (ALRC) should prioritise advice regulations in its ongoing review of financial services law. In its latest submission to the ALRC review of the Legislative Framework for Corporations, the ...

ASIC suspends, cancels AFSLs

CHLOE WALKER  |  WEDNESDAY, 7 DEC 2022
... reinstatement of its AFCA membership. Both QFML and ASFL Group may apply to the Administrative Appeals Tribunal for a review of ASIC's decision.