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Showing 161 - 170 of 338 results for "Watchdog"

BEAR regime must extend entire industry: Medcraft

JAMIE WILLIAMSON  |  WEDNESDAY, 13 SEP 2017
... the tree." Medcraft conceded that the issue will stand as his biggest piece of unfinished business when he departs the watchdog in November.

DomaCom and ASIC reach agreement on retirement products

JAMIE WILLIAMSON  |  WEDNESDAY, 13 SEP 2017
... in early-2018, the decision by ASIC brings a close to a four-and-a-half year battle between DomaCom and the corporate watchdog. DomaCom chief executive Arthur Naoumidis said the product, which allows retirees to sell part of their home while remaining ...

Suncorp Tower takeover denied by competition watchdog

EMMA RAPAPORT  |  THURSDAY, 27 JUL 2017
Fears that "substantially lessened" competition in New Zealand's personal insurance market would result from Suncorp's takeover of Tower has led to the New Zealand Commerce Commission denying the proposed merger. In a statement commission chairman Mark ...

ASIC bans ex-AMP adviser

KARREN VERGARA  |  TUESDAY, 27 JUN 2017
... concerns about how he arranged completing clients' paperwork and questioned the integrity of such records. The corporate watchdog decided to ban Fong permanently on the grounds he engaged in dishonest conduct relating to client records and applications ...

Permanent ban for ex-OnePath adviser

KARREN VERGARA  |  MONDAY, 19 JUN 2017
... advisers banned from the financial services industry, according to ASIC deputy chair Peter Kell. It is part of the corporate watchdog's Wealth Management Project aiming to lift the standards of major financial advice providers, namely NAB, Westpac, CBA ...

BTFG working to improve culture, ethics

JAMIE WILLIAMSON  |  WEDNESDAY, 7 JUN 2017
... BTFG Advice team for prioritising ethics. We applaud their initiative," St John said. "Ethics are our most effective watchdog. The more we talk, think, dissect and practice, the more we see the rewards across business, behaviours and decision making. ...

ASIC boosts support for regtech

KARREN VERGARA  |  WEDNESDAY, 31 MAY 2017
... response to an overwhelming number of organisations expressing frustration over complex compliance burdens. The corporate watchdog recently announced the next phase of supporting regtech's technological capabilities in helping clients meet regulatory ...

Barclays refunds US$97m for overcharging clients

KARREN VERGARA  |  WEDNESDAY, 17 MAY 2017
... classes, the SEC said in a statement. In a separate incident, Barclays was fined in March by the Australian corporate watchdog for failing to inform local clients they were exempt from holding an AFSL.

Two Victorian advisers cop bans

KARREN VERGARA  |  TUESDAY, 16 MAY 2017
... financial services for six years and four years respectively. Following a two-year long investigation, the corporate watchdog was also concerned about Heycock moving MySuperMan clients' funds between his other entities and self-managed superannuation ...

Unclear disclosure costs bank $5m

KARREN VERGARA  |  MONDAY, 3 APR 2017
... merchants located overseas, or if the merchants used a foreign bank or entity to process transactions. The corporate watchdog found the bank failed to properly disclose that Australian dollar transactions processed by an entity outside Australia attracted ...