Search Results | Showing 11 - 20 of 539 results for "Supervision" |
| | | ... between himself and the clients, ASIC said. Hogan commenced his professional year training in February 2022 under the supervision of Merhi of Venture Egg, who has since been charged over his involvement in the Shield and First Guardian disaster. Merhi ... |
| | | | ... Netwealth, Diversa Trustees and Equity Trustees have all announced they will tap Part 23 of the Superannuation Industry Supervision Act (SIS Act) to make their members whole, arguing the two MISs were fraudulent and they therefore do not consider themselves ... |
| | | | ... "Strong governance and oversight are fundamental to that. Phil's deep experience across compliance, risk and adviser supervision will further strengthen the guidance and support we provide across the Infocus community. "Phil's perspective and leadership ... |
| | | | ... Parliamentary Joint Committee on Corporations and Financial Services recommended an amendment to the Superannuation Industry (Supervision) Act 1993 to ensure beneficiaries who perpetrated domestic and family violence, including financial abuse, or caused ... |
| | | | ... reported a net profit after tax of $20.5 million, up 67% on 1H25. Its total funds under management, administration and supervision now sits at $283.7 billion, an increase of 28% on the corresponding period. About $96 billion of this sits within the superannuation ... |
| | | | ... Markets, a wholly owned subsidiary of BIR Financial, for providing incompetent financial services, including inadequate supervision of its corporate authorised representatives (CARs). The cancellation took effect on February 11. ASIC found that the securities ... |
| | | | ... representatives, and that it failed to maintain adequate risk management systems and adequate human resources to carry out supervision, compliance, and risk management functions. Finally, ASIC found Cambridge breached its financial resource requirements. ... |
| | | | ... He joins from Symmetry, a boutique Western Australian-based AFSL, where he oversaw governance, compliance, adviser supervision, advice technology and the end-to-end delivery of advice services. While at Symmetry, the licensee appointed Drummond Capital ... |
| | | | ... "Private markets are opaque, and Australia has limited regulatory reporting outside superannuation, meaning constrained supervision and potential heightened risks for investors," ASIC said. The regulator said it will continue to crackdown on high-pressure ... |
| | | | ... Yusef to pay $13,464.89 to the Commonwealth of Australia. All offenders must not commit any offence and must submit to supervision by a community corrections officer, ASIC said. In delivering the sentencing judgment, judge Turner emphasised that duration ... |
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