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Showing 131 - 140 of 252 results for "Financial Services Law"

HUB24 announces new board appointment

ALLY SELBY  |  TUESDAY, 3 DEC 2019
Investment and superannuation platform HUB24 has appointed its first female board director. Ruth Stringer will join the HUB24 board from February 2020, using her legal expertise to assist the company's audit, risk and compliance committee. Prior to ...

One regulatory regime enough: FSC

HARRISON WORLEY  |  FRIDAY, 13 SEP 2019
... council went further, arguing removing the duplication of regulators spoke to Kenneth Hayne's philosophy that financial services law be simplified. "This is consistent with the philosophy expressed in the Final Report of the Royal Commission into Misconduct ...

Queensland-based AFSL suspended

ELIZABETH MCARTHUR  |  TUESDAY, 10 SEP 2019
... in a statement: "ASIC expects AFS licensees to do all things necessary to meet their obligations under financial services law, comply with their licence conditions and ensure that they are able to provide financial services efficiently, honestly and ...

ASIC bans SMSF business director

HARRISON WORLEY  |  THURSDAY, 22 AUG 2019
... and diligence," ASIC said. As a result, the regulator considered it likely Goldenberg would contravene financial services law again. Separately, ASIC yesterday announced it would review the progress of the transition away from grandfathered conflicted ...

EY bolsters financial services law team

HARRISON WORLEY  |  MONDAY, 19 AUG 2019
... Former Norton Rose Fullbright partner Nikki Bentley joined EY Australia this month as a partner in its financial services law division to help boost the firm's offering to the local finance sector. Bentley, who chairs the Australian regulatory committee ...

Adviser stole $200k from SMSFs

ELIZABETH MCARTHUR  |  TUESDAY, 6 AUG 2019
The Australian Securities and Investments Commission (ASIC) permanently banned a former financial adviser who stole more than $200,000 from client self-managed superannuation funds. Robert Michael of Bentleigh, Victoria has been permanently banned from ...

Former Beacon adviser banned

KANIKA SOOD  |  FRIDAY, 24 MAY 2019
... in not of good fame of character. It also covers the instance or likelihood of a person contravening a financial services law by themselves or with another person. ASIC's May 10 banning order did not specify the specific sub section of 920A(1) under ...

ASIC bans AFSL chief executives

ELIZABETH MCARTHUR  |  MONDAY, 29 APR 2019
... of financial services were not competent to provide a financial service, and were likely to contravene financial services law. The two men have a right to appeal ASIC's decision to the Administrative Appeals Tribunal. The bans come after ASIC took action ...

ASIC appoints receiver for derivatives issuer

ELIZABETH MCARTHUR  |  FRIDAY, 26 APR 2019
... of six years in November last year. It said at the time that D'Amore was involved in contraventions to financial services law; is not adequately trained or is not competent to provide financial services; and is likely to contravene a financial services ...

Former NAB adviser charged

JAMIE WILLIAMSON  |  TUESDAY, 23 APR 2019
... that business. The regulator determined Eung was not of good character and was likely to continue to break financial services law. At the time, NAB welcomed ASIC's decision, saying Eung did not live the group's values and did the wrong thing by its customers. ...