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Showing 31 - 40 of 545 results for "Investigate"

FAAA calls for other sectors to help pay $67m CSLR bill

ELIZA BAVIN | WEDNESDAY, 3 SEP 2025

In its submission to the Treasury consultation on the Compensation Scheme of Last Resort (CSLR) Special Levy for 2025/26, the Financial Advice Association Australia (FAAA) said financial advisers should not be expected to pay more than the $20 million ...

Government scraps inquiry into advice firm failures, Dixon Advisory

JAMIE WILLIAMSON | FRIDAY, 29 AUG 2025

... not an isolated case. It betrays the victims, and all consumers, who have put their faith in the government to fully investigate these collapses so we can understand how they happened, and what can be done to prevent them in the future." The FAAA called ...

CSC quashes internal bullying, sexism claims

MATTHEW WAI | MONDAY, 11 AUG 2025

... been subjected to inappropriate conduct," Torney said. "We have implemented best-practice processes to identify and investigate any instances of wrongdoing. "We do not tolerate inappropriate behaviour."

ASX chief compliance officer to step down

MATTHEW WAI | FRIDAY, 1 AUG 2025

Daniel Moran, the chief compliance officer of the Australian Securities Exchange (ASX) since January 2023, has announced his resignation. During the transition period, general manager listings compliance Garth Riddell will step into the role of interim ...

Mercer Super, Virgin Money Super members caught in Australia Post burglaries

KARREN VERGARA | FRIDAY, 25 JUL 2025

... importance." Australia Post on its website wrote: "We have increased security and are working with Victoria Police to investigate. We apologise for any inconvenience caused."

ASIC sues Fortnum Private Wealth

KARREN VERGARA | TUESDAY, 22 JUL 2025

ASIC is suing Fortnum Private Wealth for allegedly failing to manage and comply with its cybersecurity obligations that exposed the information of its financial advisers and clients. In the NSW Supreme Court, ASIC alleges Fortnum exposed its authorised ...

Licensee compliance head banned over fees for no service

MATTHEW WAI | WEDNESDAY, 9 JUL 2025

The former head of compliance at a now defunct advice licensee has been banned for three years over the way he dealt with an adviser's fees for no service misconduct. Former Crown Wealth Group director and head of compliance Andrew Moore has been banned ...

Adviser receives permanent ban over 'dishonest' conduct

MATTHEW WAI | TUESDAY, 8 JUL 2025

... He was previously the subject of a travel restraint order, which was extended to 1 July 2025, and ASIC continues to investigate King and his actions. King has also been permanently banned from controlling or performing any function within an entity that ...

Fees for no service see former adviser banned

JAMIE WILLIAMSON | THURSDAY, 3 JUL 2025

... provided, and that she failed to report it immediately to Crown Wealth Group, her licensee. Further, she failed to investigate the conduct and implement systems to prevent it from happening again and did not refund the fees. In total, the fees collected ...

ASIC releases new relief for reportable situations regime

KARREN VERGARA | MONDAY, 30 JUN 2025

... the regime. "Licensees are reminded to ensure they have the systems and processes in place to identify, escalate, investigate, rectify and capture incidents and breaches as part of their general obligations," ASIC said. A review on the progress of the ...

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Australian Unity to shed 195 roles

MATTHEW WAI

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

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

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

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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