Search Results | Showing 351 - 360 of 6425 results for "regulatory" |
| | | Netwealth has applied to the government for financial assistance under Part 23 of the Superannuation Industry (Supervision) Act 1993 in order to compensate members impacted by the First Guardian failure. This morning, the listed platform and superannuation ... |
| | | | ... of fund research, adding that the payment system needs to be changed as well. "At the moment, there is very little regulatory oversight to ensure the accuracy and independence of fund research," he argued. "A research house should have an AFSL issued ... |
| | | | ... 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 ... |
| | | | ... 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 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 ... |
| | | | 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 ... |
| | | | ... "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 ... |
| | | | ... 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 ... |
| | | | 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 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 ... |
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