Search Results | Showing 1451 - 1460 of 6467 results for "Regulatory" |
| | | Michael David Steele has been charged with seven counts of fraud after he misled 14 investors into using their superannuation and other savings to invest a property development. Following an investigation, ASIC is alleging that between May 2016 and ... |
| | | | ... with a fine for issuing false and inaccurate account statements to 8.5 million US customers. The Financial Industry Regulatory Authority (FINRA) found that the fund manager overstated the yield and projected annual income for nine of its money market ... |
| | | | Two former directors of collapsed retail over-the-counter derivatives provider Berndale Capital Securities have been charged with dishonesty offences, including misusing over $1 million in company funds. Stavro D'Amore and Daniel Kirby are alleged to ... |
| | | | Mitrade Global has been hit with the first stop order to be issued under the design and distribution obligations' (DDO) failure to take reasonable steps provision, with the order relating to its distribution of contracts for difference (CFD). The stop ... |
| | | | Spaceship is the first superannuation fund to be slapped with stop orders, which have also been applied to its Voyager Funds series. The orders apply to the Spaceship Earth Portfolio, Spaceship Origin Portfolio, Spaceship Universe Portfolio, and Spaceship ... |
| | | | Fronting a Senate Estimates hearing, the Tax Practitioners Board (TPB) said it has no plans to suspend PwC, nor has it formally considered whether the consultant breached legislative requirements to act honestly and with integrity. Appearing in Canberra ... |
| | | | ... in demand. This is followed by hardships/retention roles, client services managers, operational risk managers, and regulatory compliance managers. As for salaries currently on offer, in Sydney a business development manager in superannuation and funds ... |
| | | | During a Senate Economics Committee session yesterday, it was revealed that APRA is investigating the financial relationships between superannuation funds and unions. APRA deputy chair Margaret Cole confirmed the regulator's ongoing scrutiny into certain ... |
| | | | ... external auditor who will report back to AUSTRAC, it added. AUSTRAC acknowledged that the action coincides with separate regulatory activity by APRA. In turn, APRA also noted the announcement by AUSTRAC and said the two have worked closely together to ... |
| | | | ... Bouwinvest, to develop and acquire assets in Australia's burgeoning build-to-rent sector. The partnership, subject to regulatory approval, aims to develop and manage at least 10,000 rent-to-live apartments by 2030, focusing initially on Sydney, Melbourne ... |
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