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Showing 141 - 150 of 718 results for "Misconduct"

What you read in 2023

JAMIE WILLIAMSON | FRIDAY, 15 DEC 2023

... competitive, while adding there were no plans to take the fund public. 7) Munich Re targets AMP over alleged reinsurance misconduct (August 23) In a disclosure nestled within AMP's half-year results, it was revealed that AMP Limited and subsidiaries ...

Caddick SMSF clients should recoup all funds: Lawyer

KARREN VERGARA | FRIDAY, 15 DEC 2023

... Taxation Office jointly regulate the SMSF sector; the ATO has the role of auditing SMSF auditors. Financial adviser misconduct in the SMSF space is rife. One example is former adviser Terence Rio Nugara was jailed for stealing SMSF clients' money ...

FSCP issues another registration prohibition order

KARREN VERGARA | WEDNESDAY, 13 DEC 2023

... previously licensed with EP Financial Services. The FSCP works alongside ASIC to oversee cases deemed to be less serious in misconduct. The panel typically does not disclose the names of advisers under investigation unless the outcome is required to ...

FSCP serves up registration prohibition order

KARREN VERGARA | MONDAY, 11 DEC 2023

... provision of financial services, Miller said. The FSCP works alongside ASIC to oversee cases deemed to be less serious in misconduct. The panel typically does not disclose the names of advisers under investigation unless the outcome is required to be ...

CSLR chief executive named

JAMIE WILLIAMSON | FRIDAY, 8 DEC 2023

... Rickard will take up the role in January. "The CSLR will play a very important role in helping victims of financial misconduct access redress and I very much look forward to contributing to this important work," Berry said. Meanwhile, the board said ...

OnePath cops $5m fine over fees for no service

CASSANDRA BALDINI | THURSDAY, 30 NOV 2023

... provide services to members efficiently. This led to a violation of the ASIC Act in connection with fees for no service misconduct. Agreed facts state that between December 2015 and November 2021, OnePath shared inaccurate information with Integra Super ...

ASIC investigates iExtend over possible unlicensed conduct

CHLOE WALKER | THURSDAY, 23 NOV 2023

... that iExtend may look to provide a claims handling and settling service in the future. Around the time of the alleged misconduct, the firm, led by former chief executive of Hong Kong-based Silver Tree Asset Management David Sarkis, launched a new risk ...

SEC sues Kraken exchange again

CASSANDRA BALDINI | WEDNESDAY, 22 NOV 2023

... investor protection is one we see far too often in this space, and today we're both holding Kraken accountable for its misconduct and sending a message to others to come into compliance." The crypto contagion continued with Binance and its chief ...

Settlement approved in AMP shareholder class action

JAMIE WILLIAMSON | WEDNESDAY, 15 NOV 2023

... action against AMP was approved by a judge yesterday. The class action was filed in June 2018 and came on the back of misconduct made public by the Royal Commission. An amended statement of claim was filed on 7 December 2021 by Maurice Blackburn and ...

ASIC to crack down on superannuation misconduct

ANDREW MCKEAN | WEDNESDAY, 15 NOV 2023

... Baring its teeth in an enforcement and regulatory update released today, the corporate regulator signalled that tackling misconduct is a "key priority" and requisite to maintaining trust and integrity in the financial system. The corporate regulator's ...

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Australian Unity to shed 195 roles

MATTHEW WAI

Australian Unity is reducing its workforce by 195 positions due to underperformance stemming from delays in government support for its Home Health platform and the integration of several businesses.

Count shutters limited-advice business, slips in size ranking

MATTHEW WAI

Count Financial has reportedly wound up its restricted SMSF/limited-advice service, losing some 26 advisers on the Financial Adviser Register, latest data shows.

First Super recruits head of investments from Prime Super

MATTHEW WAI

First Super has appointed a new head of investments, replacing Chris Artis, who was in the position for the past three months on an interim basis.

BMO eyes Euroz Hartleys' capital markets business

KARREN VERGARA

Euroz Hartleys confirmed it is in discussions with Canada's BMO Financial Group for a potential sale of its capital markets business for $145 million.

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