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Showing 361 - 370 of 4090 results for "Conduct"

ASIC proposes cash equity clearing and settlement rules

ANDREW MCKEAN  |  TUESDAY, 30 JUL 2024
... of its new powers under the competition in CS reforms. These reforms permit ASIC to establish rules for the activities, conduct, and governance arrangements of CS facility licensees and associated entities. The consultation paper is seeking feedback ...

Eildon confirms talks with Trilogy

KARREN VERGARA  |  FRIDAY, 26 JUL 2024
... being made." "However, at this stage, discussions between Eildon and Trilogy are incomplete and Trilogy is continuing to conduct due diligence. No binding agreement has been reached on any such transaction with Trilogy," Eildon told the ASX. "Eildon ...

ANZ staff axed over treasury bond scandal

ELIZA BAVIN  |  THURSDAY, 25 JUL 2024
... against any individuals who have not met the required standards and that the necessary steps are taken to ensure these conduct failures do not re-occur," Elliott said. "Importantly, we are not limiting our reviews and will address any conduct that is ...

Insignia Financial looks to slash redundancy entitlements

JAMIE WILLIAMSON  |  WEDNESDAY, 24 JUL 2024
The Finance Sector Union (FSU) is calling on Insignia Financial to rethink a proposed overhaul of redundancy pay arrangements after the wealth manager tabled a plan to cut entitlements by more than half. The FSU is currently negotiating a new Enterprise ...

ASIC to launch new criminal investigation team

ELIZA BAVIN  |  WEDNESDAY, 24 JUL 2024
... second was in late 2023 as corporate activity increased. ASIC said in both instances it acted quickly to address harmful conduct. ""Clean financial markets are essential for the financial wellbeing of Australians and fundamental to an efficient economy. ...

Insignia Financial flags more remediation ahead

JAMIE WILLIAMSON  |  MONDAY, 22 JUL 2024
... remediate super fund clients whose contributions weren't directed into a MySuper product when they should have been; this conduct has also led to Insignia Financial entering a court enforceable undertaking with APRA, also announced today. Finally ...

Industry funds defend CFMEU board ties

ANDREW MCKEAN  |  FRIDAY, 19 JUL 2024
... required. A source told Financial Standard that there are also requirements for trigger events, which may prompt a trustee to conduct a fit and proper check of an implicated director. While these directors might not be directly implicated, their association ...

ASIC bans 'incompetent' financial services directors

ANDREW MCKEAN  |  FRIDAY, 19 JUL 2024
... that it failed to comply with financial services laws between June 2018 and September 2022 and engaged in "unconscionable conduct." The corporate regulator's investigation revealed that vulnerable clients were encouraged to trade in CFDs despite lacking ...

DNR Capital introduces new global equity fund manager

ANDREW MCKEAN  |  THURSDAY, 18 JUL 2024
... proprietary process screens the vast universe of global small and mid-cap companies for quality characteristics. We then conduct fundamental research to identify the highest quality opportunities, resulting in a concentrated portfolio of typically 25 ...

ASIC permanently bans Queensland adviser

ELIZA BAVIN  |  THURSDAY, 18 JUL 2024
... clients into thinking that personal advice had been provided by the authorised representative when it had not. "Mr Abdalla's conduct gave reason to believe that he lacks the fitness and propriety to provide financial services, or manage or control those ...