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Showing 1421 - 1430 of 2198 results for "Framework"

Barclays fined following ASIC investigation

JAMIE WILLIAMSON  |  FRIDAY, 24 MAR 2017
ASIC accepted enforceable undertakings from three Barclays foreign financial service providers for failing to inform Australian clients they were exempt from holding an AFSL. The enforceable undertaking was accepted following concerns that the Barclays ...

CommInsure cleared of medical misconduct

ALEX BURKE  |  THURSDAY, 23 MAR 2017
... services conduct provisions of the Corporations Act. "ASIC has recommended to Government the strengthening of the legal framework covering claims handling and that more significant penalties for misconduct in relation to insurance claims handling be ...

Fortnum creates professional advice framework

JAMIE WILLIAMSON  |  TUESDAY, 21 MAR 2017
... to professionalism. That is the view of Fortnum Financial Group, which believes its newly-created professional advice framework will successfully drive Fortnum and its underlying practices into the future. Fortnum designed the framework to provide advisers ...

Major ASIC project finds serious financial advice concerns

ALEX BURKE  |  FRIDAY, 17 MAR 2017
ASIC has released a report on how large financial advice firms have addressed serious conduct, compliance and customer remediation issues, revealing serious concerns about how the industry has operated over the past five years. The report is part of ...

Australian Unity appoints trustee GM

DARREN SNYDER  |  FRIDAY, 17 MAR 2017
... financial services licence issued this century, and the first issued since the establishment of a national licensing framework for traditional trustee activities.

AMP Capital overhauls ESG investment strategy

KARREN VERGARA  |  THURSDAY, 16 MAR 2017
AMP Capital is introducing an ethical investment framework that will divest about $570 million in 'dangerous' or unethical investments across its entire portfolio. The company is ramping its commitment to responsible investing, and applying its new ...

Boutique investment manager launches

KARREN VERGARA  |  MONDAY, 13 MAR 2017
... cornerstone of our investment philosophy," Mitchell said. "At the heart of our investment process is a strong risk management framework. We believe that this approach ensures a consistency of performance over time and strong risk-adjusted returns." Perennial ...

Cooper Investors appoints EQT, hires retail lead

KARREN VERGARA  |  MONDAY, 13 MAR 2017
... corporate trustee services, Harvey Kalman said appointing an independent RE is a move that provides investors with a framework familiar in overseas jurisdictions. "Appointing an independent RE demonstrates to potential investors that the manager is willing ...

New social bond advocates gender equality

JAMIE WILLIAMSON  |  WEDNESDAY, 8 MAR 2017
... cite as Employers of Choice for Gender Equality. The companies must also meet the requirements of NAB's social bond framework, promoting sustainable and socially responsible investment. According to NAB acting chief customer officer, corporate and institutional ...

BTIM strengthens risk and operations divisions

JAMIE WILLIAMSON  |  WEDNESDAY, 8 MAR 2017
BT Investment Management Australia will welcome a new chief risk officer. Mark Coles has been appointed to the role, bringing more than 20 years' experience in banking, investments, asset management, structuring private equity transactions and acquisitions. ...