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Showing 241 - 250 of 305 results for "Consent"

Compliance stifling innovation: BTFG

MELANIE TIMBRELL  |  WEDNESDAY, 26 SEP 2012
... Power also said that if legislation were to allow it, the three-year horizon would likely see the extension to capture consent provision around advice by voice rather than requiring individual signatures.

Former investment company director pleads guilty

MELANIE TIMBRELL  |  MONDAY, 23 JUL 2012
... on the Sunshine Coast, although there are some living in Brisbane, Sydney and Canberra. On June 13, 2012, ASIC obtained consent orders in the Supreme Court of Queensland to wind up Tanoak Pty Ltd and another company of which Ms Oakley was sole director ...

ASIC closes in on SMSF advice firms

LINDA HAUSKEN  |  FRIDAY, 13 JUL 2012
The Australian Securities & Investments Commission has obtained interim court orders against two Queensland-based self-managed superannuation advice companies, following concerns that the firms have misled investors about their investments. The corporate ...

Provident Capital reaffirms solvency

MELANIE TIMBRELL  |  WEDNESDAY, 20 JUN 2012
... "To some respect we have a contractual right with some investors around that, but not all, so we hope that AET with the consent of the Court will accept that," O'Sullivan said.

Government responds to proxy vote concerns

BEN COLLINS  |  FRIDAY, 25 MAY 2012
... shareholders could give an undirected proxy to the chair of an annual general meeting and the shareholder provides their informed consent for the chair to exercise the proxy. Concerns have been raised as to whether this exception applies to the non-binding ...

Clarity needed for FOFA opt-in exemption

RACHEL DAVIS  |  FRIDAY, 4 MAY 2012
... Ellison. Advisers who choose not to, or who fail to qualify for the opt-in exemption will still be required to seek active consent from their clients every two years to continue charging advice fees. "Under existing statutory powers which were not enacted ...

APRA accepts EU from former Trio director

CLAIRE MCGREAL  |  WEDNESDAY, 7 MAR 2012
... trustee, investment manager or custodian of an APRA-regulated superannuation entity without obtaining APRA's prior written consent. He has also told APRA he doesn't intend to ask for permission to return to these senior roles in the super industry, and ...

Morgan Stanley slapped with US $1 million fine

CLAIRE MCGREAL  |  MONDAY, 14 NOV 2011
Global financial services giant Morgan Stanley has been hit with a US $1 million fine by the US financial regulator for excessive markups and markdowns on corporate and municipal bonds. The Financial Industry Regulatory Authority (FINRA) has also ordered ...

FOFA reforms are a soft landing

RACHEL DAVIS  |  MONDAY, 24 OCT 2011
... Ripoll. "The tick box approach to licencing and education can be improved and opt-in, or what I prefer to call 'ongoing consent', forms an important part of the total package." Michael Carter, chief executive officer, Bridges FS turned attention back ...

CHOICE, ISN hit back at associations aspersions

ELISE BURGESS  |  MONDAY, 17 OCT 2011
... moved on and are already operating under these regulations. The best in the industry are disclosing already with regular consent." On Friday, the FPA accused CHOICE and the ISN of being "driven by self-interest rather than consumer interest" in their ...