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Showing 31 - 40 of 4084 results for "Conduct"

ASIC reviews AFSLs over finfluencer concerns

ELIZA BAVIN  |  FRIDAY, 24 APR 2026
... notices to four finfluencers suspected of providing unlicensed financial advice or engaging in misleading or deceptive conduct, as well as commencing a review of several licensees and their supervision of 15 finfluencers operating under their licences. ...

Government aims to 're-make' NDIS, redirect funding to aged care

MATTHEW WAI  |  THURSDAY, 23 APR 2026
... the decade instead of growing to well over 900,000." Further, Butler will establish programs with different states to conduct NDIS reviews to provide local support to people who are not given access to the NDIS. "This work already has $6 billion allocated ...

Advisers reprimanded over fee-for-no-service conduct

MATTHEW WAI  |  WEDNESDAY, 22 APR 2026
The Financial Services and Credit Panel (FSCP) has issued three determinations in the month of April, including a reprimand to a financial adviser who continued to collect fees from a client for over a year after the service agreement ended. The adviser ...

ASIC to refresh financial market infrastructure guides

KARREN VERGARA  |  TUESDAY, 21 APR 2026
... monitor, manage and respond to risks related to FMIs. For ASIC, this resulted in increased capacity to monitor the ongoing conduct of FMI entities, identify risks as they emerge and take appropriate action to prevent those risks from escalating. Until ...

ASX declares CHESS clearing services ready

ELIZA BAVIN  |  TUESDAY, 21 APR 2026
ASX has confirmed CHESS Release 1 is ready for market open to provide clearing services. ASX is aiming to implement Release 2 of CHESS replacement in 2029. ASX said all approved market operators (AMO) advised they successfully connected to the new system ...

Treasury mulls increased powers for TPB

ELIZA BAVIN  |  TUESDAY, 14 APR 2026
... registration in certain circumstances. It also seeks to introduce new civil penalties for breaches of the Code of Professional Conduct by registered tax practitioners and false or misleading statements by unregistered preparers. Th consult also suggests ...

Former Big Un chief pleads guilty to insider trading

RIDDHIMA TALWANI  |  FRIDAY, 10 APR 2026
... information. ASIC has also taken action against Big Un's auditor Graham Rothesay Swan, who was convicted for failing to conduct the 2017 audit of the firm in compliance with auditing standards. Former investment analyst Michael Ming Jinn Ho was sentenced ...

Former Venture Egg adviser permanently banned

JAMIE WILLIAMSON  |  THURSDAY, 9 APR 2026
... competence, adequate training and judgement as a financial adviser, and engaged in dishonest, misleading and unprofessional conduct. The regulator said Papapavlou was actively involved in Venture Egg's high volume advice process, in which third party ...

VFMC names head of portfolio strategy

RIDDHIMA TALWANI  |  WEDNESDAY, 8 APR 2026
Victorian Funds Management Corporation (VFMC) has appointed KC Low as its head of portfolio strategy and asset allocation on a permanent basis. KC took over the role for an interim term in July last year following the departure of VFMC's head of ...

Treasury proposes lead generator, super switching reforms

KARREN VERGARA  |  WEDNESDAY, 8 APR 2026
... for receiving super funds to review advice fee deductions. "The collapses of Shield and First Guardian have highlighted conduct where switching advice was provided at scale, facilitated by the availability of superannuation balances as a funding source ...