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Showing 371 - 380 of 1868 results for "Authority"

Link seeks to offload Fund Solutions

ANDREW MCKEAN  |  THURSDAY, 20 OCT 2022
... as advisers. As previously reported by Financial Standard, in September, Link announced that the UK Financial Conduct Authority (FCA) had issued a draft warning to Link Fund Solutions about its role as an authorised corporate director to the LF Woodford ...

AFSL boss banned by ASIC

CASSANDRA BALDINI  |  TUESDAY, 11 OCT 2022
... Funds Management managing director Peter Gribble for failing to pay $2.5 million in Australian Financial Complaints Authority determinations. Gribble is banned from controlling a financial services business or being an officer of one after two companies ...

FPA seeks broader scope for CSLR

CHLOE WALKER  |  MONDAY, 10 OCT 2022
... broadening the scope of the scheme to include the entirety of the jurisdiction of the Australian Financial Complaints Authority (AFCA)." Such amendments would ensure equity for industry and consumers as well as long-term sustainability for the scheme ...

UK regulator to inspect advice and guidance rules

CASSANDRA BALDINI  |  TUESDAY, 4 OCT 2022
A review of the boundaries between advice and guidance will be carried out by the Financial Conduct Authority (FCA). Regulatory burden pricing consumers out of advice is being felt across the pond and in response, the UK regulator said it's taking ...

Qualitas secures $440m for debt fund

CHLOE WALKER  |  FRIDAY, 30 SEP 2022
... follows after the recent addition of the Qualitas Diversified Credit Investments mandate from the Abu Dhabi Investment Authority in August.

Tech providers support QAR SOA proposals

CASSANDRA BALDINI  |  THURSDAY, 29 SEP 2022
... to lead to greater risk of poor documentation and a future increased workload for the Australian Financial Complaints Authority (AFCA)," it said. IMAP did acknowledge Levy's recognition of the "bureaucratic approach' at ASIC. "Which has resulted ...

Link acquisition deal terminated

ANDREW MCKEAN  |  MONDAY, 26 SEP 2022
... Following necessary conditions not being satisfied, including the Woodford Matters condition and the UK Financial Conduct Authority condition, the Court declined to make orders approving the deal and dismissed proceedings. As a result, the proposed acquisition ...

Research explores advice industry's maturation

ANDREW MCKEAN  |  TUESDAY, 20 SEP 2022
... imperative ingredient of professionalism, the article outlined. Meanwhile, advisers acknowledged that they hold professional authority derived from a dependent relationship, industry knowledge and trust due to complexity. According to ASIC, over the ...

Dixon Advisory pays $7m for poor advice

JAMIE WILLIAMSON  |  TUESDAY, 20 SEP 2022
... recently reminded former Dixon Advisory clients to register their complaints with the Australian Financial Complaints Authority before Dixon Advisory's AFCA membership is cancelled in April 2023.

Link rejects latest Dye & Durham proposal

ANDREW MCKEAN  |  MONDAY, 19 SEP 2022
... intends to evaluate alternatives for the business should it not eventuate. Recently, the UK's Financial Conduct Authority (FCA) approved Dye & Durham's takeover of Link Group. However, this was subject to a condition that Dye & Durham committed ...