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Showing 11 - 20 of 34 results for "REP 827"

ASIC delays RG97 again

KARREN VERGARA | THURSDAY, 10 SEP 2020

The corporate regulator is delaying RG97 fee and disclosure requirements for two years as a result of COVID-19. ASIC said it is pushing back the timeframe when superannuation funds and managed investment product issuers are required to update their ...

ASIC refuses just 3% of AFSL relief applications

HARRISON WORLEY | WEDNESDAY, 24 JUN 2020

The corporate regulator refused just 3% of Australian financial services licence relief applications in the six month period that saw COVID-19 intensify. Outlining the regulator's relief application decisions in the six month period between October ...

US senators in alleged COVID-19 insider trading

JAMIE WILLIAMSON | MONDAY, 23 MAR 2020

A US senator who is married to the chair of the New York Stock Exchange is being accused of insider trading, having offloaded millions in stocks following private briefings on the likely impact of COVID-19 in late January. She is one of several senators ...

No one reads the PDS: ASIC

ELIZABETH MCARTHUR | TUESDAY, 15 OCT 2019

ASIC is calling time on the financial services industry's reliance on disclosure as the default consumer protection, saying it enables poor conduct and poor consumer outcomes. The regulator said disclosures have been assumed to inform consumers to make ...

REP 515 divides advice community

ELIZABETH MCARTHUR | WEDNESDAY, 28 AUG 2019

Association of Financial Advisers' general manager, policy and professionalism Phil Anderson says the financial advice community has been split in two by the corporate regulator. Providing a policy outlook at the AFA National Conference in Adelaide ...

Australian equity markets remain clean: ASIC

KRISTI CHENG | THURSDAY, 1 AUG 2019

Australia is among the most efficient or "cleanest" equity markets compared with the rest of the world, according to a recent ASIC review. The review by ASIC found Australian equity markets continue to operate with "a high degree of integrity". Measuring ...

XPLAN picks up Lumen integration

HARRISON WORLEY | FRIDAY, 3 AUG 2018

IRESS integrated its recently acquired data analytics solution with financial planning software XPLAN. IRESS has made it easier for licensees to identify actual and potential scenarios where advice standards are not being complied with by integrating ...

Vertically aligned institutions pay $21.4m compensation

KARREN VERGARA | WEDNESDAY, 21 FEB 2018

ASIC said clients of the big four banks and AMP who received non-compliant financial advice will be compensated a further $21.4 million. This adds to the $30 million compensation bill ASIC announced in March 2017 after it investigated how large institutions ...

APRA and ASIC launch insurance claims pilot

ALEX BURKE | TUESDAY, 9 MAY 2017

APRA and ASIC jointly launched the pilot phase of an initiative to raise standards of public claims reporting in the life insurance industry. The goal of the initiative, initially mooted in ASIC's REP 498 report in October 2016, is for the two regulators ...

ASIC determines Aussie equity market "mostly clean"

ALEX BURKE | WEDNESDAY, 10 AUG 2016

ASIC has found in a new report that 95% of listed equity trades on the market "exhibited no (or negligible) anomalous trading patterns" ahead of material announcements from November 2014 to October 2015. The regulator's Review of Australian equity market ...

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Australian Unity to shed 195 roles

MATTHEW WAI

Australian Unity is reducing its workforce by 195 positions due to underperformance stemming from delays in government support for its Home Health platform and the integration of several businesses.

Count shutters limited-advice business, slips in size ranking

MATTHEW WAI

Count Financial has reportedly wound up its restricted SMSF/limited-advice service, losing some 26 advisers on the Financial Adviser Register, latest data shows.

First Super recruits head of investments from Prime Super

MATTHEW WAI

First Super has appointed a new head of investments, replacing Chris Artis, who was in the position for the past three months on an interim basis.

BMO eyes Euroz Hartleys' capital markets business

KARREN VERGARA

Euroz Hartleys confirmed it is in discussions with Canada's BMO Financial Group for a potential sale of its capital markets business for $145 million.

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