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Showing 151 - 160 of 1691 results for "Communication"

Recordkeeping breach costs RBC, BNY Mellon US$85m

KARREN VERGARA  |  FRIDAY, 16 AUG 2024
... registered broker-dealers, and investment advisers. The SEC found "pervasive and longstanding use of unapproved communication methods, known as off-channel communications" among the firms. Staff that included supervisors and senior managers sent and ...

Future Group joins campaign to ban gambling ads

MICHELLE BALTAZAR  |  WEDNESDAY, 14 AUG 2024
Ethical investment groups Ethinvest and Future Group are backing an investor campaign to stop media giants Seven West and Nine Entertainment from running gambling ads. Ethinvest, a financial planning group, and Future Group, the parent company of super ...

Financial services experiencing 'workforce transformation'

ELIZA BAVIN  |  MONDAY, 12 AUG 2024
... on the means through which they communicate - with many having a reliance on email over in-person conversations. "Communication skills are one of the biggest challenges for millennial leaders coming up through the ranks in the finance and insurance industry," ...

Advisers encouraged to engage with clients' kids

ELIZA BAVIN  |  MONDAY, 29 JUL 2024
... through death inheritance. "This latest research reveals an interesting dynamic within families, including a lack of communication between the generations on wealth matters," AMP director of retirement Ben Hillier said. "It's also evident that while ...

Cbus strategy chief exits

KARREN VERGARA  |  MONDAY, 22 JUL 2024
The chief strategy officer of Cbus Super has resigned from the post after eight years with the fund. Alexandra West was less than a year into her new role as strategy chief before she resigned effective June 7. West stepped into the newly created role ...

Adviser exam yields 70% pass rate

KARREN VERGARA  |  FRIDAY, 5 JUL 2024
... groups, incorporating consumer behaviour, and decision making, as well as ethical and professional reasoning and communication. The Administrative Appeals Tribunal recently overturned ASIC's decision to ban a financial adviser for faking exam results ...

APRA: RSE licensees show 'common areas of weakness'

ELIZA BAVIN  |  FRIDAY, 28 JUN 2024
... and exit operation, together with an uplift in capability to reduce execution risk. Lastly, APRA said proactive communication strategies should be implemented to support the effective execution of recovery and exit plans particularly in periods of stress. ...

Australian Unity lashed by ASIC over TMD questionnaire

JAMIE WILLIAMSON  |  THURSDAY, 6 JUN 2024
Australian Unity Funds Management has been told to stop offering its Select Income Fund, with ASIC saying retail clients are unlikely to understand the questionnaire used to determine whether they would be in the target market. ASIC made an interim ...

Who is the highest paid S&P500 company chief?

KARREN VERGARA  |  WEDNESDAY, 5 JUN 2024
... Not far behind was General Motors' Mary T. Barra at US$27.8 million and Citigroup's Jane Nind Fraser. The communication services industry has been home to the highest-paid S&P500 chiefs for five consecutive years, earning a median of US$24.4 ...

Equity Trustees hit with fine by APRA

ELIZA BAVIN  |  WEDNESDAY, 5 JUN 2024
... not able to meet the required deadline, with [Equity Trustees] promptly informing the regulator and maintaining communication throughout on progress to address the situation." EQT said it took all prudent and reasonable steps to abide by the conditions ...