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Showing 12831 - 12840 of 28305 results for "NOT"

Former Sentinel adviser slapped with ban

KERRIE SYDEE  |  THURSDAY, 17 NOV 2016
... Stephen Beckton, who was a representative of Sentinel from September 2013 to October 2015, was banned after ASIC found he did not comply with financial services laws on a number of occasions. Following a review of Beckton's advice ASIC found that he ...

CommSec pays $200,000 penalty

KERRIE SYDEE  |  WEDNESDAY, 16 NOV 2016
... the death of one of its clients who held an equities account and margin loan account with CommSec. At that time CommSec did not apply a holder record to lock either of the accounts. Between 25 March 2014 and 14 October 2014, CommSec entered into 59 market ...

Australian infrastructure supply must lift: report

JAMIE WILLIAMSON  |  WEDNESDAY, 16 NOV 2016
... that Australia is competing against the world for investment in infrastructure and investors will look elsewhere if there are not enough projects on offer domestically. Surveying 20 global and domestic investors - including sovereign wealth funds, pension ...

Former adviser receives jail sentence

KERRIE SYDEE  |  WEDNESDAY, 16 NOV 2016
... interests ahead of his clients. This type of conduct undermines trust and confidence in the financial advice industry and will not be tolerated by ASIC or the broader community. We will act to ensure financial advisers who act dishonestly are held to ...

Japan ripe for investment

KERRIE SYDEE  |  WEDNESDAY, 16 NOV 2016
Stable economic policy, stronger than expected GDP data and the age-old need for diversification has created the perfect scenario for investors to reengage with Japan. Head of Japan at Wisdom Tree Jesper Koll argues the hype that once surrounded the ...

Insurers to battle big data privacy concerns

ALEX BURKE  |  TUESDAY, 15 NOV 2016
... media, supermarket and credit card transactions and devices like smartwatches. The problem is, the paper noted, "consumers may not be aware that the insurer has accessed this information." "This may be considered an invasion of privacy by some... The ...

Smart beta performs in Aussie equities

DARREN SNYDER  |  TUESDAY, 15 NOV 2016
... year, smart beta dividend funds grew by 22% and other smart beta funds increased by 82%. It added that funds flow success is not purely a factor of performance. Elsewhere in the report, BetaShares was named as the manager launching the most new ETPs ...

SMSF auditor's appeal upheld

DARREN SNYDER  |  TUESDAY, 15 NOV 2016
... no intentionally false statement to ASIC; and that email statements from August and September 2015, impugned by ASIC, were not misleading. The AAT said it does not accept ASIC's contention that Abichandani made any knowingly false statement - either ...

Ageing boards problematic: ACSI

JAMIE WILLIAMSON  |  TUESDAY, 15 NOV 2016
The growing number of younger women holding directorships is doing nothing to combat Australia's ageing boards problem, according to the Australian Council of Superannuation Investors. ACSI's latest research shows that although female directors are ...

Industry fund fights financial exclusion

KERRIE SYDEE  |  TUESDAY, 15 NOV 2016
... Blakey said. "A wealthy country such as ours, with a sophisticated retirement system, needs to deliver for all Australians, not just a lucky few. The roundtable saw fruitful discussion on innovative and practical steps to build a more financially inclusive ...