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Showing 351 - 360 of 6423 results for "Regulatory"

APRA updates governance framework

ELIZA BAVIN  |  FRIDAY, 24 OCT 2025
... APRA received broad support for the package overall, especially for initiatives that can reduce burden and address regulatory overlap. But APRA also heard caution around the potential impact of some proposals," APRA said. The regulator said it carefully ...

FEATURE: Fund admin | Tight Ship

KARREN VERGARA  |  FRIDAY, 24 OCT 2025
... the enforcement action is focused on a trustee's management of such failings as a trustee remains responsible from a regulatory perspective. Some caution is prudent before reading a specific group of operational failures with a service provider as a ...

ASIC bans adviser attached to UGC, MWL

ELIZA BAVIN  |  THURSDAY, 23 OCT 2025
ASIC has banned Melbourne-based financial adviser Jovan Videkanic from providing financial services, controlling an entity that carries on a financial services business or performing any function involved in the carrying on of a financial services business ...

Complaints still too high: AFCA annual review

ANGELIQUE MINAS  |  THURSDAY, 23 OCT 2025
The Australian Financial Complaints Authority's (AFCA) annual review shows that in FY25, and for the second consecutive year, more than 100,000 complaints were lodged. In investments and advice, large scale collapses in the financial advice industry ...

Equip Super searches for new chief executive

JAMIE WILLIAMSON  |  THURSDAY, 23 OCT 2025
... "He has also provided steadfast leadership through considerable change, including the COVID-19 pandemic, increasing regulatory demands, and ongoing global market volatility." Cameron also oversaw successor fund transfers involving the Dow Australia Superannuation ...

Insignia Financial posts strong quarter

MATTHEW WAI  |  THURSDAY, 23 OCT 2025
... management company by 2030." Providing an update on the CC Capital takeover, Hartley said the bid remains subject to several regulatory approvals. Insignia accepted CC Capital's bid in July to buy all of Insignia's shares for a value of $3.3 ...

Adviser banned after $11.3m loss

ELIZA BAVIN  |  WEDNESDAY, 22 OCT 2025
ASIC confirmed it permanently banned WA-based adviser Noel Northcott in April, over concerns it had around Northcott's involvement in the Noon Investment Fund and the Quant Fund, after a ruling by Administrative Review Tribunal (ART) allowed the regulator ...

ASIC slaps MWL adviser with ban over Shield involvement

MATTHEW WAI  |  WEDNESDAY, 22 OCT 2025
ASIC has banned Wade Spooner of Melbourne for eight years for advising his clients to invest their superannuation into the Shield Master Fund while he was an authorised representative of MWL Financial Services. Spooner, also a member of MWL's investment ...

First Guardian shaves $286m off Praemium FUA

MATTHEW WAI  |  TUESDAY, 21 OCT 2025
... have been impacted and working cooperatively with industry bodies and regulators, including ASIC, whilst the legal, regulatory and recovery processes continue." The reduction was included in a $772 million net market movement recorded by Praemium for ...

ASIC issues interim stop orders to TruePillars

RIDDHIMA TALWANI  |  TUESDAY, 21 OCT 2025
ASIC has told private credit manager TruePillars to halt distribution of its product disclosure statements (PDSs) for two offerings. The interim orders prevent the fund from offering, issuing, selling or transferring interests in the Pooled Unit and ...