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Showing 31 - 40 of 53 results for "Regulator ASIC"

ASIC wins first court action for FoFA breaches

EMMA RAPAPORT | WEDNESDAY, 5 APR 2017

Corporate regulator ASIC successfully brought its first action against a licensee for breach of the Future of Financial Advice reforms in the Federal Court. Melbourne-based financial advice firm NSG Services (NSG) was found by the court to have breached ...

FPA expels and fines dishonest member

EMMA RAPAPORT | WEDNESDAY, 15 FEB 2017

... four allegations alleged and postponed announcing whether sanctions would be applied. In the same month, corporate regulator ASIC also banned Tindall from providing financial services for a period five years. Tindall has appealed the ban to the Administrative ...

Hedge funds battle identity crisis

DARREN SNYDER | MONDAY, 25 JUL 2016

... the aftermath of the GFC, the Australian hedge fund industry has been working on transparency for some time. Even regulator ASIC, in its 2015 snapshot of the hedge funds sector, said there is "not any strong evidence that hedge funds pose significant ...

Industry innovation is not coming from within: Sharp

DARREN SNYDER | TUESDAY, 19 JUL 2016

... economy." He praised the efforts being mounted by the fledgling fintech sector and the assistance of corporate regulator ASIC in providing 'sandbox' relief to start-up digital technologies. "These are positive measures. But my hesitation with endorsing ...

FoFA disallowance vote will save "millions"

ALICE URIBE | TUESDAY, 15 JUL 2014

... ISA statement said. "Of particular concern is the heavy reliance on disclosure despite clear evidence from the regulator ASIC that it isn't an effective tool to improve the quality of advice. Specifically, enhanced statements of advice are not required ...

ASX: Breakdown unrelated to Monday's Chi-X launch

CLAIRE MCGREAL | FRIDAY, 28 OCT 2011

... support its launch, said ASX. "The ASX worked with its technology provider and in constant liaison with the market regulator ASIC to resolve their technical issues," said Shorten. "I've been advised the issues are not related to the introduction of competition ...

Dark pools attract larger trades and ASIC

ELISE BURGESS | THURSDAY, 2 JUN 2011

Chi-X owner, Instinet, has launched its first dark pool product for Australian equities, at a time when regulator ASIC is looking to review the trading industry. Instinet launched its Instinet BLX Australia yesterday, which will collect multiple orders ...

Signature scam adviser banned for life: ASIC

ALISON BEVEGE | FRIDAY, 27 MAY 2011

... margin account he had opened in his mother's name. King, 41, has been given a life ban from financial services regulator ASIC for engaging in misleading and deceptive conduct between 2007 and 2008 over the alleged incident. He has the right to appeal ...

Fraud adviser banned for life

ALISON BEVEGE | MONDAY, 23 MAY 2011

... Financial Planning from 2003 to 2010. Charter Financial Planning became suspicious and called in financial services regulator ASIC to investigate. ASIC discovered Bean, of St Peters, South Australia, had acted dishonestly and had broken financial services ...

Burned investors drink bitter cup: ASIC

ALISON BEVEGE | FRIDAY, 20 MAY 2011

... seek redress and recover only a few cents on the dollar if at all according to new research from finance industry regulator ASIC. The organisation studied the social impact of misconduct in the financial services industry such as fraud and inappropriate ...

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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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