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Showing 351 - 360 of 1867 results for "Authority"

Trustees must improve IDR processes: ASIC

JAMIE WILLIAMSON  |  FRIDAY, 9 DEC 2022
... maximum timeframe, putting at risk the complainant's ability to complain to the Australian Financial Complaints Authority (AFCA). They're also often failing to explain why there's been a delay, ASIC said. It found 48% of the total complaints ...

OnePath Life sued over utmost good faith duties breach

JAMIE WILLIAMSON  |  THURSDAY, 8 DEC 2022
... the decision through OnePath Life's internal dispute resolution process or through the Australian Financial Complaints Authority. "If an insurer is concerned a customer has engaged in fraudulent non-disclosure, they must make their concerns explicit ...

Former financial adviser charged with fraud

CASSANDRA BALDINI  |  WEDNESDAY, 7 DEC 2022
... Billiton Limited and Aquarius Platinum Limited to himself and an associate. The transfers occurred without the knowledge or authority of the 14 owners of the shares. He was sentenced to a 12-month community corrections order. Magistrate Covington remarked ...

ASIC suspends, cancels AFSLs

CHLOE WALKER  |  WEDNESDAY, 7 DEC 2022
... follows the ban of its managing director Peter Gribble for failing to pay $2.5 million in Australian Financial Complaints Authority (AFCA) determinations. According to ASIC, QFML also didn't have the required professional indemnity insurance coverage. ...

DASS clients pushed to accept paltry recoupment

ANDREW MCKEAN  |  FRIDAY, 2 DEC 2022
... would be $3048 and the worst $86. Directors attributed the company's failure to the Australian Financial Complaints Authority (AFCA) confirming that it would continue to make adverse findings in relation to claims of Dixon Advisory clients and because ...

UK regulator looks to simplify advice

JAMIE WILLIAMSON  |  FRIDAY, 2 DEC 2022
Taking a leaf out of Australia's book, the UK's Financial Conduct Authority is consulting on measures to improve the access to and affordability of financial advice - a move that would see the establishment of a simplified regime in addition to the ...

Six local funds in world's top 100: Study

JAMIE WILLIAMSON  |  WEDNESDAY, 30 NOV 2022
... Management (US$1.4tn) and China Investment Corporation (US$1.22tn). Also featured in the top 20 is the Abu Dhabi Investment Authority, GIC Private, Mercer, CDPQ, and CalSTRs. "These big asset owners control the world's most influential capital and hold ...

Code of Ethics must be fixed: Phil Anderson

CASSANDRA BALDINI  |  MONDAY, 28 NOV 2022
... and remains the case now. The Code of Ethics, developed by the now dissolved Financial Adviser Standards and Ethics Authority (FASEA), remains a stone in the shoe for many advisers, Anderson said. Anderson said there is much about the Code that warrants ...

UK regulator warns trading apps over gamification

JAMIE WILLIAMSON  |  TUESDAY, 22 NOV 2022
The Financial Conduct Authority wants stock trading app operators to review the design of their platforms, saying gamification is being used in ways that mislead consumers and create problem behaviours. The regulator said design features like regular ...

AFCA secures $900m in compensation

CASSANDRA BALDINI  |  MONDAY, 21 NOV 2022
... compensation and refunds since the ombudsman service opened its doors in November 2018. The Australian Financial Complaints Authority (AFCA) said it's also handled more than 300,000 disputes, an average of 200 complaints per day, over the past four ...

Editor's Choice

Global X awards mandate for ETF business

ELIZA BAVIN
Global X has awarded a new custody and administration mandate for its Australian ETF business.

Bell Asset Management launches small-caps fund

KARREN VERGARA
Bell Asset Management has formally launched its Australian Small Companies Fund, which is run by former Tyndall Asset Management portfolio managers.

Former Australian Ethical finance chief lands new gig

MATTHEW WAI
The former chief financial officer of the ethical investment manager has joined a local finance company after wrapping up his tenure at AUB Group.

MySuper assets pursue $1.5tn Choice sector

KARREN VERGARA
MySuper assets are fast catching up to the $1.5 trillion Choice sector, hitting nearly $1.2 trillion in the March quarter.

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