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Showing 1151 - 1160 of 4101 results for "Conduct"

FS team picks: The top stories for 2020

ELIZABETH MCARTHUR, KANIKA SOOD  |  THURSDAY, 17 DEC 2020
... sufferer fights CommInsure definition This year, life insurers were found to have consistently breached their own code of conduct and the industry came under increased pressure to do away with the outdated Activities of Daily Living definition. ASIC ...

ASIC takes action on Union Standard

KARREN VERGARA  |  TUESDAY, 15 DEC 2020
... was illegal for Chinese residents to deal or trade in those foreign exchange contracts. ASIC alleged Union Standard's conduct placed its China-based clients at risk of contravening Chinese law, exposing them to potential administrative and criminal penalties. ...

Household capital a retirement solution: Research

ANNABELLE DICKSON  |  MONDAY, 14 DEC 2020
The potential fourth pillar of retirement income, accessing household capital, could be the solution to a comfortable retirement, new research shows. The latest research from Heartland Seniors Finance conducted by RMIT University found 90% of senior ...

US regulator, states sue Facebook

JAMIE WILLIAMSON  |  THURSDAY, 10 DEC 2020
... Facebook is "illegally maintaining its personal social networking monopoly through a years-long course of anti-competitive conduct". Alabama, Georgia, South Carolina and South Dakota did not join the action. Guam and the District of Columbia did. Namely ...

Damning Rio report to shake mining industry

ELIZABETH MCARTHUR  |  THURSDAY, 10 DEC 2020
... Section 18 permissions can be granted by a state minister under WA's Aboriginal Heritage Act, giving companies permission to conduct works that disturb sites of significance. The report had more recommendations that could impact all mining companies ...

Government to wind up FASEA

KARREN VERGARA  |  WEDNESDAY, 9 DEC 2020
... establishment of a single disciplinary body". "This body should have primary responsibility for government oversight of the conduct of financial planners, setting mandatory professional standards, investigating potential breaches of mandatory standards ...

Advice firm launches dealer group

JAMIE WILLIAMSON  |  MONDAY, 7 DEC 2020
A Sydney-based financial advice firm is entering the licensee space, launching a technology-driven dealer group offering. Insight Investment Partners has launched IIP Dealer Group, led by managing director Anthony Lyon and director Christopher Fellas. ...

Advisers should service cashed-up investors: FCA

KARREN VERGARA  |  FRIDAY, 4 DEC 2020
... sitting on piles of cash. One of the key takeaways from The Financial Advice Market Review, conducted by the Financial Conduct Authority, is the need for more consumers to invest. But this is contingent on an advice market that offers a broader range ...

Director charged with dishonest conduct

ANNABELLE DICKSON  |  FRIDAY, 4 DEC 2020
The Melbourne Magistrates Court has charged a man with seven counts of dishonest conduct following a referral from the Australian Securities and Investments Commission (ASIC). In addition to the seven counts, Mudasir Mohammed Naseeruddin as also charged ...

ASIC consults on consumer remediation

ELIZABETH MCARTHUR  |  THURSDAY, 3 DEC 2020
ASIC has released a consultation paper to update the regulatory guide on client review and remediation conducted by financial advice licensees. Regulatory Guide 256: Client review and remediation conducted by advice licensees will be clarified through ...