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Showing 141 - 150 of 4118 results for "Conduct"

FAAA launches digital client identification tool

KARREN VERGARA  |  WEDNESDAY, 19 NOV 2025
The Financial Advice Association Australia (FAAA) will launch a digital client identification tool to assist advisers identify and verify their clients for anti-money laundering and counter-terrorism financing (AML/CTF) purposes. FAAA SafeID, an end-to-end ...

SQM vows to 'respectfully' defend ASIC case

MATTHEW WAI  |  TUESDAY, 18 NOV 2025
... further public comments. Last week, ASIC alleged the research house failed to obtain the required questionnaire and to conduct comprehensive research before providing ratings of 3.75 stars for various classes of Shield on separate occasions between 2021 ...

APRA to continue crackdown on super fund expenditure

ELIZA BAVIN  |  THURSDAY, 13 NOV 2025
APRA executive director - superannuation, life and private health insurance Carmen Beverley-Smith has warned superannuation trustees that the regulator will use the full extent of its powers if funds are spending member money in irresponsible ways. ...

Interprac sued over Shield, First Guardian failures

JAMIE WILLIAMSON  |  THURSDAY, 13 NOV 2025
... in these funds, and that Interprac - as licensee - should have been alert and responsive to the significant risk this conduct posed to clients, but it failed on many levels." Sequoia Financial Group's share price dropped by more than 12% this morning ...

ASX names chief compliance officer

MATTHEW WAI  |  TUESDAY, 11 NOV 2025
... products with ASX's rules. "I am confident she will further strengthen our efforts to uphold high standards of market conduct." Philip Lowe - former Reserve Bank of Australia's governor - was appointed last week to chair the AGCG.

NRFC invests in brain-computer interface devices

ANGELIQUE MINAS  |  FRIDAY, 7 NOV 2025
... approach used in cardiovascular stents, allowing it to be implanted without open brain surgery. Funding will be used to conduct final clinical trials and secure US regulatory approval. The financing will also advance the company's ambitions of establishing ...

Norway wealth fund told to pause ethical divestments

JAMIE WILLIAMSON  |  THURSDAY, 6 NOV 2025
... prepared for that it may no longer be able to invest in them. Currently, the fund may choose to exclude a company based on conduct, product or alternative reasons. So far, 104 companies are excluded based on their products. It's expected the review will ...

Prime Super fined over tobacco exclusion claims

JAMIE WILLIAMSON  |  THURSDAY, 6 NOV 2025
... greenwashing interventions are founded on enforcing well-established legal obligations that prohibit misleading and deceptive conduct," ASIC deputy chair Sarah Court said. "Fund managers need to make sure that they accurately represent the nature of ...

Majority of SMSF establishments based on bad advice: ASIC

KARREN VERGARA  |  THURSDAY, 6 NOV 2025
... clients," Report 824: Review of SMSF establishment advice states. The advisers also acted more as "order-takers" and did not conduct a reasonable investigation and assessment of financial products. They also did not give priority to the interests of ...

ASIC reveals findings from reporting and audit surveillance

ELIZA BAVIN  |  FRIDAY, 31 OCT 2025
ASIC has released the findings from its financial reporting and audit surveillances for the 12 months to 30 June 2025, after reviewing 254 companies. Report 819 ASIC's oversight of financial reporting and audit 2024-25 outlined findings from company ...