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Showing 131 - 140 of 256 results for "Financial Services Law"

Former ANZ adviser banned

ELIZA BAVIN  |  TUESDAY, 24 MAR 2020
ASIC has banned a Western Australia-based adviser from providing financial services for four years. The regulator said it had been surveilling Anthony Hilsley's activities when he was an authorised representative of RI Advice Group, owned at that time ...

ASIC drags CFS to court over MySuper

ELIZABETH MCARTHUR  |  TUESDAY, 17 MAR 2020
ASIC has commenced civil proceedings in the Federal Court against Colonial First State, alleging that it engaged in misleading communication with members. Following the introduction of legislation in 2012 that required trustees to offer members a default ...

Former licensee boss banned

JAMIE WILLIAMSON  |  TUESDAY, 11 FEB 2020
... contraventions of financial services laws. As a result, ASIC determined Schroeder is likely to contravene financial services law in the future because of his involvement and responsibility for Spectrum's failures and because of his poor understanding ...

ASIC suspends Melbourne-based AFSL

ELIZA BAVIN  |  WEDNESDAY, 11 DEC 2019
... competence or the resources required to provide the financial services covered by its licence, comply with the financial services law and take all necessary steps to ensure that the financial services covered by its licence are provided efficiently ...

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 ...