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Showing 101 - 110 of 4118 results for "Conduct"

Petra Capital fined over misreporting of 15k trades

MATTHEW WAI  |  THURSDAY, 5 FEB 2026
Sydney-based stockbroking firm Petra Capital has been fined $205,350 by the Markets Disciplinary Panel (MDP) for misreporting information on 3632 orders. The MDP found that Petra had breached the market integrity rules by failing to provide accurate ...

Pinnacle takes over Pacific Asset Management

KARREN VERGARA  |  WEDNESDAY, 4 FEB 2026
... said. The transaction is due to complete in the first half of 2026 but is subject to the approval of the UK's Financial Conduct Authority and the Dubai Financial Services Authority. Pinnacle chief executive Ian Macoun commented: "We want the PAM management ...

WT Financial Group clear on 2026 strategy, rebrands retail advice arm

MATTHEW WAI  |  WEDNESDAY, 4 FEB 2026
While the ASX-listed financial advice group is staying firm on its objectives for 2026, it has refreshed the identity of its consumer advice business, signalling an evolution is underway. WT Financial Group founder and managing director Keith Cullen ...

Interprac ordered to pay $120k over Shield advice, blames Macquarie

MATTHEW WAI  |  TUESDAY, 3 FEB 2026
... Fund has already compensated the complainant for the capital amount they invested in the Shield Master Fund, Interprac's conduct caused the complainant to incur a loss," AFCA said. "Macquarie Super Fund is not solely responsible for the complainant's ...

Clime chair assumes investment role

KARREN VERGARA  |  MONDAY, 2 FEB 2026
Clime Investment Management's John Abernethy will assume an operational role to lead the investment team. Abernethy will become director of investments and remain a director of the company. Meanwhile, Leo Economides carries on as chief investment ...

Review launched into thin capitalisation reforms

ELIZA BAVIN  |  MONDAY, 2 FEB 2026
Treasurer Jim Chalmers, Minister for Financial Services Daniel Mulino and Assistant Minister for Productivity, Competition, Charities and Treasury Andrew Leigh have tasked the Board of Taxation to undertake an independent review of the government's ...

ASIC acts against 28 SMSF auditors

MATTHEW WAI  |  FRIDAY, 30 JAN 2026
... Couroyannis and Dawid Maj had additional conditions imposed on their SMSF auditor registrations, including the need to conduct an independent review by an approved SMSF auditor, sitting and passing a competency exam, and providing a formal letter imposing ...

Post-holiday blues drives retirement tool engagement

ANGELIQUE MINAS  |  THURSDAY, 29 JAN 2026
Reviewing data collected from the past two years, HESTA found members' interaction with its Future Planner retirement tool spikes around the end of the school holidays as the working year gathers pace. HESTA found that in late January and early February ...

BPS Financial fined $14m over Qoin Wallet

ANGELIQUE MINAS  |  WEDNESDAY, 28 JAN 2026
... without an Australian Financial Services Licence (AFSL). It was also found to have engaged in misleading and deceptive conduct by making several false and misleading representations about the Qoin Wallet product. ASIC referenced that the ability of Qoin ...

AWAG partners to form $240m wealth business, names principal

MATTHEW WAI  |  WEDNESDAY, 28 JAN 2026
... representative count to 80 across Australia last month. In October, AWAG acquired a 20% stake in First Mutual, as it continues to conduct due diligence on similar opportunities among several boutique licensees and other business investments to expand ...