Search Results | Showing 1201 - 1210 of 6459 results for "Regulatory" |
| | | ... investment products and services to retail clients. "Where we identify significant harm, we will continue to take strong regulatory action including, where appropriate, commencing court proceedings." For example, in a case concerning high-risk offers ... |
| | | | ... products, services, and member experiences as well as drive down costs per member." It also highlighted the impact of regulatory change, pinpointing fund stapling. "These changes usually make a lot of sense, as we all want a better run and more secure ... |
| | | | ... all members," according to the significant event notice. "In recent years, there has been a substantial increase in regulatory changes introduced by both the federal government and regulatory bodies. These changes have significantly raised the complexity ... |
| | | | The government has been encouraged to create a regulatory framework that empowers superannuation trustees to offer members targeted help, guidance, and advice (HGA) on issues outlined in the Retirement Income Review (RIC). The Actuaries Institute dialogue ... |
| | | | ... seeking clarification of any doubt that might exist about her obligations." She further said there was no legitimate regulatory purpose served by disqualification and highlighted Townshend's experience and otherwise unblemished record. Other arguments ... |
| | | | ... and there were no adverse financial impacts to fund investors. We take our commitment to investor transparency and regulatory compliance seriously, and our systems and processes were enhanced and updated after we discovered the errors." Several organisations ... |
| | | | The UK's Financial Conduct Authority (FCA) has proposed mandating personal investment firms, commonly known as investment advisers, to pre-emptively calculate and secure sufficient capital for potential redress liabilities. The financial regulator is ... |
| | | | Former financial adviser David Fong and his practice Fong Financial Planners have been convicted and sentenced in a Perth court for three counts of dishonest conduct. Fong, who was an authorised representative of AMP Financial Planning between January ... |
| | | | The Federal Court has imposed a $5 million penalty on OnePath Custodians for unlawfully deducting adviser service fees from members. According to court documents, the trustee made misleading representations about its right to continue charging fees ... |
| | | | APRA has released new insights into superannuation product performance, revealing that most on-platform trustee directed products (TDPs) underperform their benchmark and exhibit higher administration fees. The prudential regulator's analysis based on ... |
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