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Showing 311 - 320 of 2527 results for "Legal"

Sequoia ends FY24 with 350 advisers

KARREN VERGARA  |  TUESDAY, 27 AUG 2024
... established in the Equity Capital Markets and higher net worth marketplace," Crole said. Together with its other business unit, legal and administration services, the group reported total revenues of $124.6 million, a 26% jump year on year. More than ...

BUSSQ fights back against regulatory imposition

ANDREW MCKEAN  |  MONDAY, 26 AUG 2024
... super fund. The Construction, Forestry, Mining and Energy Industrial Union of Employees, Queensland (CFMEU-Q), a separate legal entity to the CFMEU, is a shareholder of BUSSQ and has appointed four directors to its eight-member board, three of whom are ...

ASIC wins case against crypto exchange Kraken

ANDREW MCKEAN  |  MONDAY, 26 AUG 2024
... reminder to the crypto industry" about the importance of compliance with the design and distribution obligations. "It's a legal requirement for financial products to be distributed to consumers appropriately. Consumers should receive the full protection ...

New bill seeks to block investments involving Cbus

ANDREW MCKEAN  |  THURSDAY, 22 AUG 2024
... However, Cbus has previously told Financial Standard that it's a highly regulated financial institution that meets all legal obligations regarding the appointment and ongoing review of directors, who must pass a fit and proper assessment. Bragg ...

ASIC scraps Libertas' AFSL for unpaid compensation

KARREN VERGARA  |  TUESDAY, 20 AUG 2024
... Sequoia said it has assessed complaints where there is less than a probable likelihood of restitution, including the impact of legal costs and insurance, and chose "not to disclose the likely amount as they are still subject to proceedings with AFCA ...

Super's board requirements are sound: SMC

ELIZA BAVIN  |  TUESDAY, 20 AUG 2024
... instigated an independent review into issues raised in recent weeks - and Cbus has supported the regulator's actions. "It's a legal requirement that trustee directors must pass a fit and proper assessment before their appointment and each year. These ...

ART appoints chief financial officer, promotes managers

ELIZABETH FRY  |  FRIDAY, 16 AUG 2024
... joined ART/Sunsuper over 10 years ago, initially working within the fixed income and currency team. Before ART, he worked at Legal & General Investment Management and at JPMorgan and State Street. Meanwhile, as head of asset allocation, Hall leads a ...

ASX lifts revenue amid lower listings, capital raises

KARREN VERGARA  |  FRIDAY, 16 AUG 2024
... royalties, and growth in customer connections at the Australian Liquidity Centre (ALC). The exchange did not provision for the legal proceedings ASIC brought against it on August 13 post-reporting period. ASIC alleged the ASX breached certain sections ...

'Our patience is running thin': ASIC

ELIZA BAVIN  |  THURSDAY, 15 AUG 2024
... customers. Note the deliberate choice in language there - customer, not member. Yes, the term 'member' comes with particular legal obligations, but they see themselves as your customers. "That's how they're used to dealing with their financial institutions. ...

EQT wins RE mandate from Woodbridge

KARREN VERGARA  |  MONDAY, 12 AUG 2024
... 450 funds with $110 billion of assets at the end of April. In June, APRA fined EQT for $782,500 for failing to meet its legal obligations to report data. APRA said EQT breached the requirements of the Financial Sector (Collection of Data) Act 2001 (FSCODA) ...