Search Results | Showing 1 - 10 of 3690 results for "Conduct" |
| | | ... account was doling out advice on trading complex financial instruments without proper authorisation. The UK's Financial Conduct Authority (FCA) alleges that between 9 May 2018 and 13 April 2021, Emmanuel Nwanze and Holly Thompson (also known as Holly ... |
| | | | ... government is also providing $3 million to implement the government's response to the Review of the Franchising Code of Conduct, including remaking and enhancing the Code, and an additional $2.6 million to support more small businesses through alternative ... |
| | | | Proposed changes to the wholesale investor test potentially have sprawling ramifications for financial advisers and is something some experts say will need to be thoroughly nutted out before the government pushes any reforms over the line. Potentially ... |
| | | | UniSuper's systems are back online, after close to two weeks of disruption following the deletion of its private cloud. In an update today, UniSuper chief executive Peter Chun said online services across the fund's website and app have been ... |
| | | | Rest has urged the Australian government to remove the minimum hours rule for the superannuation guarantee to apply. Research conducted for Rest by CRNRSTONE found 82% of Australians think the law should be changed so that Australian workers - many ... |
| | | | ... chances of recovery. Although there is no current evidence suggesting Prakash is a flight risk, the severity of the alleged conduct, including possible criminal charges, and Prakash's pivotal role in ASIC's investigation, make urgent ex parte orders ... |
| | | | ... Financial Advisers Register varied from weekly to annually or were ad-hoc. "Trustees must be vigilant, as advisers with poor conduct, including those using cold calling operators, may move rapidly between licensees. Better practices focused on maintaining ... |
| | | | UniSuper has commenced the restoration of its services, as APRA confirms it is monitoring the situation which arose when the fund's private cloud was inadvertently deleted. In a brief statement to Financial Standard, APRA said it is "aware of the ... |
| | | | ... that JPMSAL's failure to identify its client's trading as suspicious was "careless", that JPMSAL should have detected the conduct, and should have acted more expeditiously when alerted to it by ASIC. JPMSAL has complied with the infringement notice and ... |
| | | | Perpetual has agreed to divest its wealth management and corporate trust businesses to Kohlberg Kravis Roberts (KKR) for $2.18 billion, pending shareholder approval. The deal will see the departure of Perpetual chief executive Rob Adams. The net proceeds ... |
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