Search Results | Showing 1371 - 1380 of 8728 results for "Regulator" |
| | | Mudasir Mohammed Naseeruddin has been sentenced to four years and four months in prison following his guilty plea to charges of dishonest conduct and failure to discharge duties in good faith. Naseeruddin goaded investors to rollover their superannuation ... |
| | | | The Federal Court has appointed Linda Smith and Robert Kirman of McGrathNicol as corporate receivers to probe Brite Advisors, following serious concerns about the management of client pension funds. Smith and Kirman will investigate Brite Advisors and ... |
| | | | A former Shaw and Partners financial adviser was charged with two counts of providing false or misleading information to ASIC during the regulator's investigation into his misconduct. Kristofer Ridgway allegedly provided false information during ... |
| | | | ... cause the creation of, a false or misleading appearance with respect to the market for Creso shares on the ASX, the regulator said. Further, between 18 March and 15 November 2021, ASIC believes that EverBlu breached its AFSL obligations by failing to ... |
| | | | The Financial Advice Association of Australia (FAAA) expressed concerns about Treasury's proposal to abolish fee consent forms and Fee Disclosure Statements (FDS) in its response to the first round of reforms. Currently, advisers must produce an annual ... |
| | | | Once again, Financial Standard readers were captivated by the evolving superannuation landscape, with this year's top stories largely focused on this space. However, there was one particular executive move that simply couldn't be scrolled past. ... |
| | | | Life insurers are underhandedly hiking premiums in a way that is misleading and fails to explain why they are rising, according to APRA and ASIC, warning that they will take regulatory action if practices do not improve. The regulators have reprimanded ... |
| | | | ... Solutions. About 93.7% of investors - representing 96.1% of the value - voted in favour of the scheme proposed by UK regulator, the Financial Conduct Authority (FCA). If paid in full, the FCA estimates they will receive roughly 77 pence for every pound ... |
| | | | ... any financial services, managing a financial services business, or engaging in credit activities because the corporate regulator deemed him to lack adequate training or competence. ASIC highlighted Mink's professional lapses, including placing himself ... |
| | | | National Australia Bank (NAB) and Jarden Wealth (Jarden) will combine their New Zealand wealth advice and asset management businesses into a newly formed entity, FirstCape. The new advice and asset management firm, based in New Zealand, will be formed ... |
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