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Showing 21 - 30 of 44 results for "James Shipton"

AMP advisers low priority for ASIC

ELIZABETH MCARTHUR | WEDNESDAY, 15 JUL 2020

... changes." At the Senate Parliamentary Joint Committee, Corporations and Financial Services O'Neil asked ASIC chair James Shipton why AMP's treatment of financial advisers was not a priority for the regulator. "We believe with the evidence before us that ...

Calls to investigate treatment of AMP advisers

ELIZABETH MCARTHUR | FRIDAY, 26 JUN 2020

... value of its Buyer of Last Resort (BOLR) agreements. Labor senator for NSW Deborah O'Neill has written to ASIC chair James Shipton, urging him to investigate the AMP BOLR changes. Last year AMP made changes to its BOLR agreements, which guarantee the ...

Renewed scrutiny for ME Bank

ELIZABETH MCARTHUR | TUESDAY, 2 JUN 2020

... hearing did not fully reflect the extent of ME Bank's communication with ASIC on the redraw issue," ASIC chair James Shipton said in a letter to Wilson. McPhee's statement before the committee noted that ME Bank notified ASIC of the redraw facility ...

916 advisers gone in three months, ASIC responds

ELIZABETH MCARTHUR | THURSDAY, 21 MAY 2020

ASIC chair James Shipton insists the regulator is concerned by the number of financial advisers leaving the industry and how COVID-19 could amplify the issue, as it is revealed almost 1000 left since the pandemic hit. The ASIC Financial Adviser Register ...

Major regulatory efforts delayed

HARRISON WORLEY | WEDNESDAY, 15 APR 2020

... in the Australian financial services sector are under enormous strain due to the effects of COVID-19," ASIC chair James Shipton said. "We also acknowledge that they are taking special measures to support their customers who are adversely affected. We ...

Get on top of non-financial risk: ASIC

HARRISON WORLEY | WEDNESDAY, 2 OCT 2019

... effective manner," ASIC said. "Boards cannot afford to ignore the oversight of non-financial risks," ASIC chair James Shipton said. "As we have seen, all risk can have financial consequences. If not well managed, non-financial risks carry very real financial ...

ASIC prepares to be primary super conduct regulator

ELIZABETH MCARTHUR | THURSDAY, 12 SEP 2019

... mentioned court action ASIC has taken against Select AFSL, Dover and NAB as a result of the Royal Commission. ASIC chair James Shipton said: "As we have seen in recent weeks, a number of those referrals and case studies are before the courts, and we ...

Fairness key to meaningful change: Shipton

HARRISON WORLEY | MONDAY, 20 MAY 2019

... financial system to really improve, fairness needs to be embedded into financial institutions, according to ASIC chair James Shipton. Opening ASIC's annual forum in Sydney recently, Shipton said the concept of fairness needs to be embedded "into every ...

Former planner charged with dishonesty

HARRISON WORLEY | FRIDAY, 30 NOV 2018

... allegedly used to facilitate his dishonesty, paving the way for the charges to be laid. ASIC's action comes after chair James Shipton faced the Royal Commission last week in Sydney. During the hearing, Shipton said he was in favour of applying the Banking ...

BEAR should be expanded, ASIC included: Shipton

JAMIE WILLIAMSON | FRIDAY, 23 NOV 2018

ASIC chair James Shipton said he is in favour of applying the Banking Executive Accountability Regime to senior ASIC staff while being quizzed on the regulator's current governance. After telling Senior Counsel Assisting Rowena Orr that he believes ...

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Australian Unity to shed 195 roles

MATTHEW WAI | 12:42PM

Australian Unity is reducing its workforce by 195 positions due to underperformance stemming from delays in government support for its Home Health platform and the integration of several businesses.

Count shutters limited-advice business, slips in size ranking

MATTHEW WAI | 12:34PM

Count Financial has reportedly wound up its restricted SMSF/limited-advice service, losing some 26 advisers on the Financial Adviser Register, latest data shows.

First Super recruits head of investments from Prime Super

MATTHEW WAI | 12:17PM

First Super has appointed a new head of investments, replacing Chris Artis, who was in the position for the past three months on an interim basis.

BMO eyes Euroz Hartleys' capital markets business

KARREN VERGARA | 12:29PM

Euroz Hartleys confirmed it is in discussions with Canada's BMO Financial Group for a potential sale of its capital markets business for $145 million.

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