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Showing 1221 - 1230 of 4101 results for "Conduct"

Superhero nabs new recruits

ALLY SELBY  |  FRIDAY, 2 OCT 2020
... MIntegrity Group, a regulatory consulting firm, having previously worked with Macquarie Group as a senior manager of its conduct risk program. Smeaton has previously worked with ASIC, where she worked her way up the ranks from a graduate position before ...

Trustees cutting corners: Rowell

KARREN VERGARA  |  FRIDAY, 2 OCT 2020
The prudential regulator has lambasted superannuation funds for not taking underperformance seriously and failing to compare themselves accurately against their peers. APRA deputy chair Helen Rowell said that many superannuation funds are overlooking ...

Adviser charged with stealing super

ELIZABETH MCARTHUR  |  FRIDAY, 2 OCT 2020
... some of Australia's largest licensees could face 15 years in jail after being charged with four counts of dishonest conduct in relation to hardship superannuation requests. Rahul Goel is an authorised representative of Australian Financial Directions ...

RBA, ASIC provide CHESS guidance

ALLY SELBY  |  FRIDAY, 2 OCT 2020
... ASIC and the RBA, as well as the broader Council of Financial Regulators and the ACCC, were closely supervising the ASX's conduct during the replacement program. "The regulatory expectations seek to ensure that ASX remains responsive to users' evolving ...

Shariah-compliant ETF launches

KARREN VERGARA  |  THURSDAY, 1 OCT 2020
A Shariah-compliant global equity ETF, touted as the world's first, has listed on the London Stock Exchange. The actively managed Almalia Sanlam Active Shariah Global Equity UCITS ETF (AMAL) aims to achieve capital growth over the medium to long ...

Manipulative trading at J.P. Morgan costs it over $1bn

ALLY SELBY  |  WEDNESDAY, 30 SEP 2020
... in the precious metals and US treasuries markets, spanning more than eight years and thousands of unlawful trades. "The conduct of the individuals referenced in today's resolutions is unacceptable and they are no longer with the firm," J.P. Morgan ...

AstuteWheel integrates with Xplan

ANNABELLE DICKSON  |  MONDAY, 28 SEP 2020
Client engagement software provider AstuteWheel has integrated with financial advice software Xplan following overwhelming demand from advisers who were using both services. AstuteWheel managing director Hans Egger said 80% of advisers who use AstuteWheel ...

Japanese bank makes major voting blunder

ALLY SELBY  |  FRIDAY, 25 SEP 2020
... and what measures should be taken. Following the blunder, JaST will no longer use forward processing, and will instead conduct tallying operations on the basis of the date of receipt from the post office. This will enable more "accurate, prompt and efficient" ...

FCA reviews regulation of foreign financial services firms

KARREN VERGARA  |  FRIDAY, 25 SEP 2020
The Financial Conduct Authority is reassessing how it should authorise and supervise foreign firms providing financial services in the UK as the Brexit transition period ends. The FCA announced it launched the consultation process in anticipating an ...

ASIC, IOSCO report on debt capital raisings

ALLY SELBY  |  THURSDAY, 24 SEP 2020
... ASIC's 668 Report noted that while a properly functioning debt capital market (DCM) is vital for the real economy, poor conduct in the industry can reduce both the confidence of issuers as well as investors, resulting in reduced participation and increased ...