Search Results | Showing 311 - 320 of 1883 results for "Authority" |
| | | ... they serve on the boards of multiple companies in a corporate group," said Court. The Australian Financial Complaints Authority (AFCA) counted 1726 Dixon Advisory-related complaints at the end of June 2023. |
| | | | ... issues in the UK. In April, Link Group reached a conditional agreement with the UK regulator, the Financial Conduct Authority, to settle its investigation into Link Fund Solutions following the failure of the LF Woodford Equity Income Fund, which Link ... |
| | | | ... Corporation, Monivae College Hamilton and Slater and Gordon Lawyers, and sits on the board of the Suburban Rail Loop Authority. "On behalf of the VFMC executive team, and our people, I extend thanks and appreciation to James for his immense contribution ... |
| | | | ... Financial advice firms are "problematically" sidestepping compensation payments after the Australian Financial Complaints Authority (AFCA) hands down a decision, using the excuse that they do not have professional indemnity insurance (PII). Out of 5400 ... |
| | | | ... Management. The US Federal Reserve has issued Credit Suisse a $394.84 million (US$268.5) fine while the Prudential Regulation Authority (PRA) has hit the bank with $165 million (£87 million). Due to its acquisition of Credit Suisse, UBS will be responsible ... |
| | | | ... cancellation has no effect on requirements for FTX Australia to continue as a member of the Australian Financial Complaints Authority, and to have arrangements for compensating retail clients. FTX entered voluntary administration on November 11, and ... |
| | | | The Financial Regulator Assessment Authority (FRAA) has affirmed the effectiveness of APRA in superannuation supervision, while identifying underdevelopment in the regulator's resolution function. The FRAA tabled five recommendations for APRA to enhance ... |
| | | | ... disregarding liquidity risks and are unprepared in the event of mass redemptions, a review by the Financial Conduct Authority (FCA) finds. The UK regulator found that many authorised funds dismiss their liquidity management obligations by way of poor ... |
| | | | ... dealing and/or credit. It enables consumers who have an unpaid determination from the Australian Financial Complaints Authority to be compensated up to $150,000. Consumers will be able to lodge claims for compensation from April 2024, with the first ... |
| | | | ... notify all his clients of the remediation program and their right to complain to the Australian Financial Complaints Authority if any issues cannot be resolved with Capstone, ASIC said. Prior to Capstone, Blackaby was licensed through AIW Dealer Services ... |
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