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Showing 1471 - 1480 of 2510 results for "Legal"

Macquarie cops fine over van Eyk

JAMIE WILLIAMSON  |  THURSDAY, 25 AUG 2016
... Macquarie Investment Management (MIM) to pay $400,000 to the corporate regulator and also contribute $200,000 towards ASIC's legal fees. As the responsible entity for the van Eyk fund, it was found that Macquarie contravened the Corporations Act by failing ...

LICG will fight on after failing to trigger AFA constitution talks

JAMIE WILLIAMSON  |  THURSDAY, 25 AUG 2016
... with at least 5% of the votes or 100 members or more, in accordance with the Act." The spokesperson claimed, the AFA sought legal advice which resulted in the LICG being informed that the particular by-law quoted is specifically worded to apply consistency ...

Whitehelm appointment and acquisition

DARREN SNYDER  |  MONDAY, 22 AUG 2016

US funds launch lawsuit against big four banks

ALEX BURKE  |  FRIDAY, 19 AUG 2016
... allegations regarding bank trading and the BBSW made in a statement of claim by ASIC in March 2016 and is vigorously defending the legal action brought by ASIC. "ANZ notes there has been no allegation by ASIC of collusion between it and other institutions." ...

Transparency key for sophisticated investment

KERRIE SYDEE  |  TUESDAY, 9 AUG 2016
... sophisticated investor status is also key for financial advisers to ensure their client's certificate is valid and their advice legal. "The transparency protection that this provides at the investor level also contributes to the certainty that the adviser ...

Terms of reference released for complaints system review

KERRIE SYDEE  |  MONDAY, 8 AUG 2016
... The role of the bodies in working with government, regulators, consumers, industry and other stakeholders to improve the legal and regulatory framework to deliver better outcomes for users, and The relative merits, and any issues that would need to be ...

AZ NGA appoints Genesys vet as advice GM

ALEX BURKE  |  MONDAY, 8 AUG 2016
... and was senior manager dealership services for St George Bank Financial Planning before that. He has also held roles at Legal and General Australia and Professional Investment Services. Commenting on his appointment, Ashton said: "Joining AZ NGA is an ...

Wilson submits request to shut down Aurora fund

ALEX BURKE  |  WEDNESDAY, 3 AUG 2016
... on the EGM request, saying as both a substantial (21.6%) shareholder in and investment manager of the fund, it is "taking legal advice in relation to this matter and will keep the market informed once further information is available." This news follows ...

Japanese pension fund continues ESG commitment

DARREN SNYDER  |  MONDAY, 1 AUG 2016
... University of California, as well as Canada's Ontario Teachers' Pension Plan. The UK's Universities Superannuation Scheme and Legal and General Investment Management have also come on board, as has PGGM and APG from The Netherlands. Separately GPIF is ...

Unlicensed product adviser receives four year ban

KERRIE SYDEE  |  THURSDAY, 28 JUL 2016
... contraventions and intended to influence clients to purchase properties through SMSFs; and that Cross was willing to ignore legal advice and warnings about Park Trent's practices, demonstrating he is likely to contravene financial services law. ASIC ...