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Showing 291 - 300 of 557 results for "Supervision"

MyPlanner enters ASIC radar

JAMIE WILLIAMSON  |  WEDNESDAY, 6 DEC 2017
... steps to ensure that its representatives complied with financial services laws and did not carry out satisfactory supervision. The conditions also apply to MyPlanner Professional Services, a second AFSL that a large number of MyPlanner advisers and staff ...

Former CBA-aligned adviser banned for three years

ALEX BURKE  |  FRIDAY, 1 DEC 2017
... withdrawing funds from their self-managed superannuation fund when not permitted to under the Superannuation Industry (Supervision) Act 1993 or the SMSF's trust deed. He was also found to have recommended another client to use funds from his SMSF to ...

Meat industry fund welcomes new chief executive

JAMIE WILLIAMSON  |  FRIDAY, 1 DEC 2017
... shortly after it was acquired by IOOF. He has also held a range of roles with ANZ Wealth and is a former senior analyst, supervision with the Australian Prudential Regulation Authority. A spokesperson for AMIST Super said a decision would be made in ...

Centrepoint adviser banned

JAMIE WILLIAMSON  |  TUESDAY, 28 NOV 2017
... withdrawing funds from their self-managed superannuation fund when not permitted to under the Superannuation Industry (Supervision) Act 1993 or the SMSF's trust deed. He was also found to have recommended another client to use funds from his SMSF to ...

Jeremy Cooper explores the inconvenient truth of super

ALEX BURKE  |  MONDAY, 20 NOV 2017
... retirement income philosophy, they can work on the delivery." Cooper also suggested that the Superannuation Industry (Supervision) Act should be amended to "refer specifically to duties to retired members and their different income and risk management ...

Queensland adviser enters ASIC enforceable undertaking

JAMIE WILLIAMSON  |  WEDNESDAY, 15 NOV 2017
... five years. Following that, Hartmann will be permitted to re-enter the industry but will be required to adhere to supervision requirements imposed by the regulator. ASIC conducted an investigation into Hartmann's conduct between 1 January 2014 and 12 ...

Industry fund appoints governance and risk head

EMMA RAPAPORT  |  THURSDAY, 9 NOV 2017
... with APRA, Alford operated as a manager in the specialised institutions division, leading analysts in the prudential supervision and risk assessment of large and complex industry funds. In June, Equip confirmed its merger with the Rio Tinto Staff Superannuation ...

OneVue sells $2bn RE business

ALEX BURKE  |  WEDNESDAY, 25 OCT 2017
... an agreement to sell its responsible entity business, which currently represents about $2.3 billion in funds under supervision. The RE business covers 27 managed investment schemes and will be acquired by Equity Trustees for $3.5 million, funded from ...

Government names new ASIC chair

ALEX BURKE  |  TUESDAY, 17 OCT 2017
... of Harvard Law School's program on international financial systems. He was also executive director, intermediaries supervision and licensing division at the Hong Kong Securities and Futures Commission, and headed up Goldman Sachs' Asian hedge fund consultancy ...

UK regulator increases support for new starters

JAMIE WILLIAMSON  |  FRIDAY, 29 SEP 2017
... to assist new entrants to the industry. Speaking at an investment conference in Europe, FCA executive director of supervision - investment, wholesale and specialists Megan Butler said a lot of red tape protects incumbents from competition by deterring ...