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| | | ... report with ASIC until 5 November 2021. "The MDP considered that these circumstances demonstrated that Interactive Brokers did not have sufficient staff with the necessary skills, knowledge, or experience to properly assess the alerts or those staff ... |
| | | | ASIC has commenced civil penalty proceedings against Bit Trade, provider of crypto exchange Kraken, following alleged failures to adhere to design and distribution obligations for margin products offered to Australian customers. Since the introduction ... |
| | | | ... The regulator is seeking feedback on improving the effectiveness of hybrid capital bonds amid concerns design features would not be resilient enough to withstand a banking crisis. APRA released its discussion paper on Thursday, citing the challenges ... |
| | | | ... 11 ETFs. "ARK looks forward to offering its products to a larger audience, particularly European and UK investors who have not had access to our ETFs. Existing shareholders in ARK ETFs should not be impacted, except perhaps by the benefit of increased ... |
| | | | ... For his part, Hindo said his time with the fund, particularly as chief investment officer, has been a privilege. "I could not have imagined when I joined Ontario Teachers' that it would have provided the level of camaraderie, compelling opportunities ... |
| | | | A new study shows that while most local financial services marketers believe compliance teams get in the way of them getting their job done, those same compliance specialists think marketers are just looking for someone else to blame when marketing ... |
| | | | ... breach of confidence. The amendment will also enable the ATO and TPB to refer ethical misconduct by advisers, including but not limited to confidentiality breaches, to professional associations for disciplinary action. Whistleblower reforms will also ... |
| | | | ... advice solution, including one in four who have used one before, the survey found. Additionally, only 20% of those surveyed are not open to financial advice and 28% said they didn't know enough about it to say if they were or not. The survey collected ... |
| | | | New research reveals gender parity in global funds management has hit a standstill, with female representation barely moving the needle. Citywire's Alpha Female 2023 report showed an inconsequential increase in female fund managers, stagnating at 12.1% ... |
| | | | ... delivery of risk advice within its network, through the pilot project. "Elevating the quality and accessibility of risk advice is not just good practice but a social imperative," he said. "It strengthens advisers' business, enriches client relationships ... |
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