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Showing 311 - 320 of 1646 results for "Review of"

ASIC cans Binance AFSL

KARREN VERGARA  |  TUESDAY, 11 APR 2023
... including access to external dispute resolution through the Australian Financial Complaints Authority. Our targeted review of these matters is ongoing, including focus on the extent of consumer harms," he said. Binance continues to be a member of AFCA ...

ASIC bans Gold Coast adviser

CHLOE WALKER  |  FRIDAY, 31 MAR 2023
... ASIC's decision. The AAT refused the stay application in February, but no hearing date has been set for the substantive review of ASIC's decision. In reviewing a sample of financial advice provided by Matai, ASIC found it was not appropriate, and he ...

Australian Retirement Trust lines up another merger

JAMIE WILLIAMSON  |  TUESDAY, 21 MAR 2023
... that were previously unattainable, deliver enhanced products and services to our members and drive down costs." KPMG's review of Alcoa Super found that while there was no immediate cause for concern, within two years it would be difficult for the trustees ...

Advice group chief fakes exam result, banned

JAMIE WILLIAMSON  |  THURSDAY, 16 MAR 2023
... performing any function involved with running a business. "ASIC identified Mr Karamian's conduct through a proactive review of individuals who were listed as current financial advisers on the FAR despite not having passed the FA Exam by 1 January 2022 ...

ASIC bans Queensland adviser

ANDREW MCKEAN  |  WEDNESDAY, 15 MAR 2023
... ASIC has banned Queensland-based adviser Douglas Allen from providing financial services for three years. ASIC's review of Allen's advice files revealed that he employed a "layered advice" approach. The regulator discovered that his recommendations ...

HSBC bails out Silicon Valley Bank UK

CASSANDRA BALDINI  |  TUESDAY, 14 MAR 2023
... the review report will be released at the start of May. "We need to have humility and conduct a careful and thorough review of how we supervised and regulated this firm, and what we should learn from this experience," added Barr. President Joe Biden ...

Hearts & Minds appoints chief investment officer

JAMIE WILLIAMSON  |  TUESDAY, 14 MAR 2023
... Investors, Magellan, Regal Funds Management, and TDM Growth Partners. Lanchester left BlackRock earlier this year following a review of its fundamental equities business. He had been there since 2015. He has previously held investment roles with Perpetual ...

Court fines ANZ for dodgy introducer program

KARREN VERGARA  |  MONDAY, 13 MAR 2023
... its home loan processes." "As part of the settlement, ANZ has agreed that its Customer Fairness Advisor will conduct a review of its Home Loan Introducer Program." ASIC deputy chair Sarah Court commented: "By failing to have robust compliance and training ...

FPA voices concern on proposed CSLR, FAR laws

ANDREW MCKEAN  |  FRIDAY, 10 MAR 2023
... (AFCA), including managed investment schemes (MIS)," Abood said. Of note, yesterday Treasury announced the start of its review of the regulatory framework for MIS, aimed at identifying gaps and potential areas for improvement. The review was announced ...

Review of managed investment schemes kicks off

JAMIE WILLIAMSON  |  THURSDAY, 9 MAR 2023
Treasury is commencing its review of the regulatory framework underpinning managed investment schemes (MIS), targeted at identifying gaps and possible areas for improvement. The review was announced as part of the Albanese government's first federal ...