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Showing 121 - 130 of 557 results for "Investigate"

Banned adviser told to stay put

CHLOE WALKER  |  FRIDAY, 16 JUN 2023
... Adele Ferguson on national television. He is now required to remain in Australia while the regulator continues to investigate his conduct. Prior to Shaw and Partners, Ridgway spent close to 12 years as a senior client adviser at Bell Potter Securitie ...

FRAA releases draft APRA, ASIC metrics

KARREN VERGARA  |  FRIDAY, 16 JUN 2023
... its resources to address the areas of greatest harm to consumers, investors, and markets. "ASIC is not resourced to investigate every instance of alleged misconduct that comes to its attention, and so must make difficult choices and prioritise its regulatory ...

Vanguard fined for defective account statements

KARREN VERGARA  |  MONDAY, 5 JUN 2023
... regulations, and with applicable FINRA rules. A firm's duty of supervision includes the responsibility to reasonably investigate red flags that suggest misconduct may be occurring."

No regrets: Hayne reflects on Royal Commission

KARREN VERGARA  |  TUESDAY, 30 MAY 2023
... superannuation, life insurance and financial advice industries. "One of the oddities about doing a Royal Commission is that you investigate an area, you make your recommendations, but you are making your recommendations to government," he said. "And ...

Industry funds' illiquid assets scrutinised

ANDREW MCKEAN  |  THURSDAY, 11 MAY 2023
The Australian superannuation system allows investors to shift between options and funds daily, raising critical questions about liquidity. Despite requirements under SPG530 - Investment Governance, public disclosure on liquidity stress-testing is relatively ...

Payday super to boost retirement savings for millions

ANDREW MCKEAN  |  TUESDAY, 2 MAY 2023
... can utilise real-time monitoring and act quickly to complaints, eliminating the need to wait until quarter-end to investigate. "The government setting the ATO targets for recovery and indicating it would treat the deliberate and systemic underpayment ...

APRA investigates NobleOak capital adequacy breach

KARREN VERGARA  |  FRIDAY, 31 MAR 2023
... taking action against NobleOak Life for breaching its capital adequacy obligations. APRA said this morning that it will investigate the ASX-listed company's compliance process that led to breaches of capital adequacy requirements relating to reinsurance ...

ASIC investigates CHESS replacement blunder

KARREN VERGARA  |  WEDNESDAY, 29 MAR 2023
The corporate and securities watchdog has commenced an investigation into the ASX's botched CHESS replacement program. The ASX, its subsidiaries ASX Clear and ASX Settlement, and responsible directors and officers are under scrutiny for their role ...

Menopause: The silent economic crisis

JAMIE WILLIAMSON  |  TUESDAY, 21 MAR 2023
For most of us, women's reproductive concerns remain taboo in the workplace. However, with menopause estimated to be robbing women of at least $17 billion in retirement, calls for mandated menopause leave are growing. It's commonly accepted ...

The unique experience of a single woman

CASSANDRA BALDINI  |  TUESDAY, 21 MAR 2023
Facing dodgy dates, ticking biological clocks and an endless procession of nosey family members asking after their private life, single women have plenty on their plates - and all with a serve of financial disadvantage on the side. Global statistics ...