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Showing 31 - 40 of 26375 results for "SEC"

Mason Stevens farewells managing director

MATTHEW WAI  |  MONDAY, 12 OCT 2026
Mason Stevens managing director, global investment service has wrapped up his seven-year tenure at the company. Nick Mitchell has departed the company but did not disclose where he will be heading next. He has close to three decades of experience in ...

Former Western AM investment chief to receive final judgement

MATTHEW WAI  |  MONDAY, 12 OCT 2026
The Securities and Exchange Commission (SEC) has moved for a final judgement against the former co-chief investment officer of Western Asset Management, which could result in $147 million (US$103m) returned to harmed investors. The SEC is advancing ...

ASX to defend legal action brought by shareholder

MATTHEW WAI  |  MONDAY, 12 OCT 2026
The Australian Securities Exchange (ASX) said it plans to defend the claims submitted by one of its shareholders on ASX's behalf, stating the applications filed are "not in the best interests of the company." Rosherville Capital, a Sydney-based family ...

Genetic testing ban takes effect for life insurance

VINNY VUCAGO  |  FRIDAY, 9 OCT 2026
Australians can access genetic testing without risking discrimination in life insurance under a new ban that took effect on October 8, with the Australian Financial Complaints Authority (AFCA) also updating its rules to handle complaints involving adverse ...

TAL names super fund partnership lead

MATTHEW WAI  |  FRIDAY, 9 OCT 2026
TAL has named a new partnership leader who will focus on its collaboration with a super fund, replacing Mel Jose, who left in August to join Netwealth after a two-year stint. Mary Gabriel has joined the life insurer as head of partnership, Aware Super ...

UniSuper says Firmus float was 'priced to perfection'

RIDDHIMA TALWANI  |  FRIDAY, 9 OCT 2026
UniSuper chief investment officer John Pearce said the $175 billion super fund decided to not take part in the Firmus float, describing the neo-cloud company as "priced to perfection", before the initial public offering (IPO) was abandoned today. Firmus ...

Equip Super launches new campaign with Supercars champion

MATTHEW WAI  |  FRIDAY, 9 OCT 2026
Equip Super has welcomed supercars champion James Courtney as an ambassador to advocate early retirement planning for Australians. This comes as national research shows over half of the population doesn't have a formal financial plan. The research also ...

Former Income AM director launches fixed income advisory

MATTHEW WAI  |  FRIDAY, 9 OCT 2026
A former Income Asset Management executive director has launched Ancora Fixed Income Advisory (AFIA) for high-net-worth (HNW) clients targeting the defensive asset class. After a two-year stint at Income Asset Management, and close to 30 years' experience ...

Capital Group expands into Middle East

ELIZA BAVIN  |  FRIDAY, 9 OCT 2026
Capital Group has secured a Financial Services Permission from the Financial Services Regulatory Authority (FSRA) of ADGM, the international financial centre of Abu Dhabi, allowing it to expand into the Middle East. Capital Group said the approval authorises ...

FAAA says super trustees should stump up for CSLR

RIDDHIMA TALWANI  |  THURSDAY, 8 OCT 2026
The Financial Advice Association Australia (FAAA) has called on Treasury to cut the Compensation Scheme of Last Resort (CSLR) special levy on the advice sector to zero and for superannuation trustees to stump up for the scheme. Treasury recently commenced ...