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Showing 421 - 430 of 4124 results for "Conduct"

Cbus recruits chief risk officer from Crown

KARREN VERGARA  |  TUESDAY, 18 JUN 2024
... working in senior roles across risk and compliance functions. Georgiou was previously the chief compliance officer for conduct and regulatory relationships at Westpac and before that looked after the consumer bank's risk functions. She worked at NAB ...

ASIC appeals judge's call to not penalise Block Earner

JAMIE WILLIAMSON  |  TUESDAY, 18 JUN 2024
... complexity was a consideration even where the respondent perceived regulatory uncertainty but deliberately engaged in the conduct in pursuit of profits. ASIC also questioned the judge's reliance on a Block Earner press release as grounds for relief despite ...

Social media, news addiction cost returns: Morningstar

KARREN VERGARA  |  MONDAY, 17 JUN 2024
Investors addicted to the financial news cycle and social media hype tend to time the market and forego substantial returns compared to staying the course, according to Morningstar. The "hyper-informed" investor is one who incessantly checks stock prices ...

ASIC issues first stop order for crowd funding

ELIZA BAVIN  |  THURSDAY, 13 JUN 2024
The Australian Securities and Investments Commission (ASIC) has issued an interim stop order preventing Hirehood from offering securities under its crowd-sourced funding (CSF) offer document. The CSF was published on the VentureCrowd intermediary platform. ...

Super Members Council renews calls for anti-hawking extension

JAMIE WILLIAMSON  |  THURSDAY, 13 JUN 2024
... January 2019, the UK outlawed cold calling in relation to pensions, except where the caller is authorised by the Financial Conduct Authority, or is the trustee or manager of an occupational or personal pension scheme, or where the recipient has consented ...

Equip Super to introduce retirement specialists

ELIZA BAVIN  |  TUESDAY, 11 JUN 2024
Equip Super is expanding its retirement support services, adding retirement support specialists for members as well as providing help to non-members. The super fund said it will be establishing a dedicated retirement centre and implementing a fund-wide ...

Macquarie AM bags top manager gong

KARREN VERGARA  |  FRIDAY, 7 JUN 2024
Macquarie Asset Management has taken out the top prize at this year's Investment Leadership Awards. This is the fifth time that Macquarie AM has taken home the Investment Manager of the Year Award since 2018, which was awarded at Financial Standard's ...

Australian Unity lashed by ASIC over TMD questionnaire

JAMIE WILLIAMSON  |  THURSDAY, 6 JUN 2024
... Fund to retail clients, saying Australian Unity had failed to take "reasonable steps likely to result in distribution conduct being consistent with its target market determination (TMD)." The Australian Unity Select Income Fund is a contributory mortgage ...

ASIC cancels AFSL of XTrade

ELIZA BAVIN  |  THURSDAY, 6 JUN 2024
... September 2022, XTrade failed to comply with its general obligations as an AFS licensee and engaged in unconscionable conduct. ASIC said XTrade failed to take reasonable steps to ensure that its representatives complied with financial services laws ...

Preqin launches new term intelligence tool

ELIZA BAVIN  |  FRIDAY, 31 MAY 2024
... market practices because they only have access to their own firm's past records. "Now with Term Intelligence, investors can conduct thorough pre-investment due diligence on fund terms, with the assurance that they have visibility over an objective baseline ...