Search Results | Showing 371 - 380 of 1678 results for "Breach" |
| | | ASIC named and shamed more responsible entities in need of improving their oversight of investment managers' marketing practices, raising concerns over five funds totalling about $705 million in assets. Ongoing ASIC surveillance identified concerns ... |
| | | | Equity Trustees, the trustee of Crescent Wealth Superannuation, has said the fund's estimated costs weren't calculated or disclosed correctly, breaching regulatory standards. The finding follows a review by Equity Trustees, of the fund's ... |
| | | | ... changes in October 2021 and so it became known as red October." She noted other changes impacting advisers including expanded breach reporting and the design and distribution obligations (DDO), as well as advice fee consent requirements which "hit home." ... |
| | | | Both Pendal Group and Perpetual have confirmed the terms of their takeover deal have changed, in addition to the Supreme Court ruling that Pendal could rightfully seek more than a break fee if the deal goes south. Both parties have agreed to revise ... |
| | | | Mark Thomas, the former chief executive of failed research house van Eyk, was sentenced this week after pleading guilty to breaching directors' duties earlier this year. Thomas has been sentenced to 15 months, to be served by way of an intensive correction ... |
| | | | ASIC has accepted a court enforceable undertaking from financial advice firm Lasarith and its sole director and responsible manager Adam Smith. Lasarith, trading as Succession Matters, will cease operating its financial services business under its AFSL ... |
| | | | ... significant being IOOF Investment Management's failure to transfer member benefits to other funds in a timely manner and a breach by OnePath Custodians of a previous APRA direction. "The Insignia Trustees make up the largest retail superannuation ... |
| | | | ASIC has banned former responsible manager of over-the-counter derivatives provider Sirius Financial, Mark Bringans, for eight years. Bringan's banning follows an ASIC investigation into the firm, which agreed to wind down its retail and wholesale operations ... |
| | | | ... and has been the subject of several scandals in recent years, including the Archegos and Greensill Capital collapses, a breach of COVID rules by its then chair in 2021 and questions around its financial position. Credit Suisse's share price has more ... |
| | | | Just 6% of licensees lodged a breach report in the first nine months of the reportable situations regime, with ASIC raising concerns that licensees still lack the systems and policies to identify and address issues. ASIC has released insights from the ... |
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