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Showing 201 - 210 of 350 results for "Investigations"

The tools to capture quality

HARRISON WORLEY  |  TUESDAY, 8 MAY 2018
... just means we'll do a lot more work around it." The sixth factor allows Kelly to assess dividend sustainability. Investigations typically delve into the consistency of dividend policies at a company, as well as cash flow and capex metrics. "It means ...

Royal Commission grills professional associations

KARREN VERGARA  |  THURSDAY, 26 APR 2018
... renewed his membership. He is currently a member today, De Gori confirmed. De Gori said progress has stalled because investigations officer Mark Murphy left before Christmas 2017, and the matter is now before the Conduct Review Commission (CRC) - the ...

AMP kept unsuspecting clients in the dark: RC

KARREN VERGARA  |  TUESDAY, 24 APR 2018
... in light of Mr E's case, she noted. Orr asked why AMP hasn't yet compensated the clients - let alone initiated investigations or reached out to them. Britt replied all of Mr E's clients have been moved to the remediation program and lumped into a pool ...

RECAP: Advice in the Royal Commission spotlight (Day 4 and 5)

KANIKA SOOD  |  FRIDAY, 20 APR 2018
... case study: advice put retirement in ruins ASIC totally unprepared for advice reforms: Tynan Treasurer backs ASIC investigations

Treasurer backs ASIC investigations

DARREN SNYDER  |  THURSDAY, 19 APR 2018
... confirmed ASIC has been engaging closely with the Royal Commission on a range of matters including current and ongoing investigations. He added that ASIC's identification of suspected illegal conduct "gives me great confidence that ASIC will continue ...

Financial advice under the Royal Commission spotlight next month

ALEX BURKE  |  TUESDAY, 13 MAR 2018
... that financial advisers account for more than a third of all serious misconduct issues since early 2012. These investigations involved instances of fraudulent or grossly negligent conduct and willful breaches of the law. Despite this, the proportion ...

FOS submission points finger at advisers

JAMIE WILLIAMSON  |  MONDAY, 5 MAR 2018
... Commission, FOS attributed 39% of serious misconduct identified in the last six years to financial advisers. These investigations involved instances of fraudulent or grossly negligent conduct and willful breaches of the law. Despite this, the proportion ...

ASIC to target non-compliant advisers and AFSLs

JAMIE WILLIAMSON  |  THURSDAY, 1 MAR 2018
... commissioner Cathie Armour said. Over the course of the six month period to 31 December 2017, ASIC undertook a total of 63 investigations, 61 of which were completed. These actions resulted in a total of $94.4 million paid in compensation and remediation ...

Financial Standard's top stories of 2017

ALEX BURKE  |  FRIDAY, 22 DEC 2017
... of this year. The biggest stories of 2017 spanned new super funds, major strategic partnerships, landmark ASIC investigations, long-serving industry executives passing the baton and sweeping reforms. The top 10 stories were: 1.GROW Super opens for business ...

Queensland adviser enters ASIC enforceable undertaking

JAMIE WILLIAMSON  |  WEDNESDAY, 15 NOV 2017
... superannuation funds without adequately demonstrating why this was suitable; and failing to conduct reasonable investigations into clients' objectives for insurance requirements and products. He was also found to have failed to sufficiently look into ...