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Showing 391 - 400 of 971 results for "Registered"

Tropical theme Ponzi scheme busted

ELIZA BAVIN  |  FRIDAY, 22 NOV 2019
... Management, managed the "Palm" and "Shore" investment funds. The SEC said both Palm Management and Shore Management are not registered with the Commission in any capacity. The SEC alleges Burkholz and Bianco invested less than half of the funds they ...

Continued calls for code compliance extension

ELIZABETH MCARTHUR  |  THURSDAY, 21 NOV 2019
Following ASIC providing relief to licensees in regards to ensuring advisers are registered with a compliance scheme, the Financial Planning Association of Australia is calling for more to ensure compliance. Speaking to Financial Standard, FPA head ...

Vanguard appoints head of superannuation

ELIZA BAVIN  |  TUESDAY, 19 NOV 2019
... 2020. Lovett will leave his role on Vanguard's Financial Adviser Services team in the US, where he has been leading the registered investment adviser channel since early 2017. Prior to his role in the US, Lovett served as Vanguard Australia's head of ...

Registration deadline extended: ASIC

ELIZABETH MCARTHUR  |  THURSDAY, 14 NOV 2019
... The disciplinary body will displace the roles of the compliance schemes that AFSLs had to ensure their advisers were registered with - rendering such schemes shortly redundant. The disciplinary body will be charged with monitoring and enforcing the Financial ...

RMBS scrutiny could be loosened in US

ELIZABETH MCARTHUR  |  WEDNESDAY, 13 NOV 2019
... asset-backed securities had not been updated since 2004. Clayton said: "Since the financial crisis, activity in the SEC-registered RMBS space has been very limited." Since the revised asset-backed securities disclosure rules were put in place no SEC-registered ...

Financial services the most unethical industry

HARRISON WORLEY  |  TUESDAY, 12 NOV 2019
... the community, with their net Ethical Index score increasing by seven points since 2018. "Independent" super funds registered a nine point score drop, while investment banks were considered slightly more ethical than in 2018. The research found that ...

FPA Congress could be biggest yet

ELIZABETH MCARTHUR  |  MONDAY, 11 NOV 2019
... 2019 Financial Planning Association of Australia Congress is on track to be the biggest yet, with numbers of delegates registered surpassing last year's. Dante De Gori, chief executive of the FPA, said registration numbers are tracking to beat the 1400 ...

ASIC freezes Sydney advisers' assets

ELIZA BAVIN  |  WEDNESDAY, 6 NOV 2019
... ASIC said it is accepting reports of concerns of misconduct in relation to the activities of Hopkins and QWL. QWL is a registered holder of the AFS license and operates from its office in Sydney's northern suburbs.

Adviser moves show industry upheaval

ELIZABETH MCARTHUR  |  TUESDAY, 5 NOV 2019
... Personal Finance, one to Industry Fund Services and one to VicSuper. Another AFSL, Smart Solutions, showed 18 advisers registered in July but had ceased by October. Equipsuper went from four aligned advisers to 12, likely due to Catholic Super's ...

Frozen fund pays investors

KANIKA SOOD  |  TUESDAY, 29 OCT 2019
... $700 million. It invested its pool of money in debt assets, extending funds to borrowers under the security of first registered mortgages. When the GFC hit, the borrowers started defaulting on their loans. The fund froze redemptions starting October ...