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Showing 361 - 370 of 3533 results for "Reporting"

GQG breaches SEC whistleblower protection laws

KARREN VERGARA  |  FRIDAY, 27 SEP 2024
... report alleged securities law violations to the SEC. "Specifically, the settlement agreement said that it permitted reporting possible securities law violations to government agencies, including the Commission; however, it also required the former employee ...

Schroders launches high yield credit strategy

MATTHEW WAI  |  FRIDAY, 27 SEP 2024
... to diversify their equity or term deposit allocations whilst preserving capital. The fund is managed by Helen Mason, reporting to head of fixed income Kellie Wood. "[She] has more than a decade's experience as a fund manager and a senior credit research ...

ASIC extends two advice instruments

KARREN VERGARA  |  WEDNESDAY, 25 SEP 2024
... keeping requirement instruments for another five years. The regulator has established ASIC Corporations and Credit (Breach Reporting-Reportable Situations) Instrument 2024/620 and ASIC Corporations Record-Keeping Requirements for Australian Financial ...

ASIC slaps Macquarie with record $5m fine

KARREN VERGARA  |  WEDNESDAY, 25 SEP 2024
... notice, as judging by its conduct and lack of escalation response, pointed to "systemic issues regarding the culture and reporting within Macquarie." ASIC contacted the firm on six separate occasions about its concerns, which was taking place amidst ...

FSU steps up calls for reproductive leave policies

JAMIE WILLIAMSON  |  MONDAY, 16 SEP 2024
... inquiry into issues related to menopause and perimenopause to the Senate Community Affairs References Committee with a reporting date of 17 September 2024. Modelling by the Australian Institute of Superannuation Trustees (AIST) estimated menopause is ...

Future Fund restructures investment leadership

KARREN VERGARA  |  FRIDAY, 13 SEP 2024
... investment and listed equities. The new-look unit comprises six leaders, including five new managing director roles reporting to Samild, which will all be filled by existing Future Fund executives. Deputy chief investment officer Hugh Murray remains ...

Northern Trust expands fixed income trading capability

ANDREW MCKEAN  |  THURSDAY, 12 SEP 2024
... more seamless fixed income trading," he said. "With streamlined operations and trade flow, transaction cost analysis reporting and deep pools of liquidity, clients can have enhanced access to global fixed income securities." Northern Trust said its outsourced ...

Rising HNW numbers fuel need for specialist advice

JAMIE WILLIAMSON  |  THURSDAY, 12 SEP 2024
... also play an increasingly important role in providing access to exclusive investment opportunities, and the tools and reporting this investor demands to stay informed about their investment performance and their long-term financial goals."

BT outsources to SS&C Technologies

KARREN VERGARA  |  TUESDAY, 10 SEP 2024
... include all fund types, SS&C said. The services include transaction and distribution processing, AML/KYC, regulatory reporting, call centre services, and SS&C's Digital 360 investor services suite. Perennial had $6.6 billion in assets under management ...

ASIC issues warning over shoddy DDO practices

JAMIE WILLIAMSON  |  TUESDAY, 10 SEP 2024
... practices among issuers, ASIC said one managed investment scheme operator monitored funds under management and flow reporting to detect unusual activity and material deviations in actual performance against benchmarks. ASIC said doing this would help ...