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Showing 121 - 130 of 632 results for %22UK Financial Services Authority%22

VFMC adds to board

ANNABELLE DICKSON  |  TUESDAY, 22 JUN 2021
... a project officer and three years in Australian Public Service. "This appointment broadens the public sector policy, financial and risk management expertise of the VFMC board," VFMC chair James Mackenzie said. "In particular, Mr Considine brings extensive ...

Research on education standards and morals launches

KARREN VERGARA  |  WEDNESDAY, 2 JUN 2021
... code of ethics to determine the impact that these changes may have had on the moral reasoning of advisers. The financial services Royal Commission mandated the professionalisation of advisers, forcing them to undertake further study and abide by a national ...

AFCA names two lead ombudsmen

ANNABELLE DICKSON  |  MONDAY, 31 MAY 2021
... joins from ASIC where she was senior executive leader, insurers. She was previously acting executive director, financial services group and group senior manager - insurance. She started her career in financial services as a senior lawyer at Colonial ...

ASIC bans Theta managing director

KARREN VERGARA  |  MONDAY, 17 MAY 2021
ASIC has banned the managing director of Theta Asset Management for four years from the financial services industry. The banning order for Robert Patrick Marie comes after several instances of misconduct relating to Theta, the responsible entity of ...

FASEA approves two degrees

KARREN VERGARA  |  MONDAY, 17 MAY 2021
... Standards Authority has added two degrees to its approved list of courses. Any bachelor's degree with a major in financial services that commenced from March 2021 at Southern Cross University has been given FASEA's tick of approval. A graduate diploma ...

AFCA welcomes new chair

KARREN VERGARA  |  MONDAY, 17 MAY 2021
... helping industry and thousands of consumers to resolve often intractable disputes. AFCA has worked with the financial services industry to promote best practice." Under Coonan's tenure, AFCA received over 188,000 disputes with over $522 million being ...

ASIC to wind up PE Capital

ELIZABETH MCARTHUR  |  FRIDAY, 14 MAY 2021
... Opportunities Fund. According to ASIC, PE Capital issued interests in the unregistered schemes without an Australian financial services licence (AFSL) or a valid authorisation from an AFSL holder. The claim says PE Capital held itself out as being a ...

Legalsuper adds Law Institute of Victoria chief

JAMIE WILLIAMSON  |  TUESDAY, 4 MAY 2021
... expanding the financial and commercial expertise on the board, at a time when scrutiny and change across the entire financial services system have never been greater". "Adam's role as chief executive of the Law Institute of Victoria centers on meeting ...

Former adviser pleads guilty over million-dollar super theft

ANNABELLE DICKSON  |  THURSDAY, 22 APR 2021
... on behalf of 10 of his clients. Saad submitted applications for one-off advice fees to Nulis for providing financial services to his clients. ASIC said the services were not provided and the fees were instead rebated to his clients facilitating unlawful ...

Vanguard UK upends cost of advice

KARREN VERGARA  |  TUESDAY, 20 APR 2021
Vanguard has launched a financial advice offering in the UK that will charge a flat rate of 0.79%, a whopping three times less than what the industry charges on average. Vanguard Personal Financial Planning promises to provide high-quality, low cost ...