Search Results | Showing 1381 - 1390 of 8730 results for "Regulator" |
| | | ... 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 ... |
| | | | Research by CoreLogic suggests the Australian housing market is heading towards an inflection point, with the rate of growth in home values becoming more diverse but generally weakening. According to the research, commissioned by NAB for its December ... |
| | | | The Federal Court has slapped ANZ with a $900,000 fine for breaching its continuous disclosure laws about eight years ago. In October, the court found the banking giant had contravened continuous disclosure laws by failing to tell the market its underwriters ... |
| | | | ... incident involved a significant amount of data being lost and NGS' systems being compromised for a period," the regulator said. It added that while NGS has taken steps to address the recommendations in the reviews, the additional conditions now require ... |
| | | | ... the Superannuation Industry (Supervision) Act 1993 (SIS Act) addressing Retirement Income covenants," the prudential regulator said. "APRA strongly encourages RSE licensees, life insurers and reinsurers to work together to improve access to data points ... |
| | | | A financial adviser who failed to act in her clients' best interests by recommending they invest in the Investport scheme she was receiving loans from has seen her two-year ban affirmed by an appeals tribunal. Pamela Anderson was a financial adviser ... |
| | | | In its final response to the Quality of Advice Review (QAR), the government plans to modernise the best interests duty and amend the Statement of Advice (SoA), while also granting approval for superannuation funds to provide personal advice. In its ... |
| | | | ASIC's Markets Disciplinary Panel (MDP) has fined a Nomura subsidiary almost $700,000 for failing to comply with market integrity rules. Instinet Australia, the local arm of the global, Nomura-owned stockbroker, was issued the infringement notice after ... |
| | | | ... the fluctuating market conditions and the decline in retail trading activity post-pandemic. In a report, the corporate regulator said that it took swift action to disrupt certain high-risk offers, or proposed offers, to retail investors where we were ... |
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