Search Results | Showing 31 - 40 of 629 results for %22UK Financial Services Authority%22 |
| | ... six cases were resolved in favour of the super fund. ASIC deputy chair Sarah Court said: "ASIC expects the financial services industry to have effective dispute resolution procedures in place, and, importantly, to have the systems and resourcing to ensure ... |
| | | ... Australian Financial Complaints Authority (AFCA). AFCA's latest update details the systemic issues that plague financial services firms but does not name the organisations in its report. One unnamed life insurer blamed its old policy administration ... |
| | | ... of the troubled Fund Solutions arm to Waystone was first announced in February, after a long battle with the UK's Financial Conduct Authority (FCA) about its role as an authorised corporate director to the LF Woodford Equity Income Fund. In August ... |
| | | ... the regulator, flagging concerns around poor disclosure of fees and under-investment in technology. In the letter, the Financial Conduct Authority's director of consumer investments Lucy Castledine outlined "key harms" to consumers the regulator has ... |
| | | ... representative of The FinancialLink Group at the time, from managing, supervising, or auditing the provision of financial services. In 2019, Phillip Emidio Bruni copped a permanent ban from working in financial services. This article incorrectly stated ... |
| | | ... several matters referred to the Australian Financial Complaints Authority (AFCA) relating to the provision of financial services to its retail clients". "The directors have assessed complaints for which there is less than a probable likelihood of restitution ... |
| | | ... intermediation, securities dealing or credit provisions. It will be funded by levies imposed on parts of the financial services industry. Meanwhile, Westpac's 3Q23 net interest margin (NIM) clocked in at 2.06%. But excluding notable items, the NIM ... |
| | | ... spokesperson for ASIC confirmed to FS Sustainability that Bloomberg and MSCI do not hold any relevant Australian Financial Services Licences. But the market regulator issued a warning. "ASIC is actively considering the conduct and obligations of third-party ... |
| | | ... suffering significant losses. The corporate regulator believes Ryan put the interests of Dixon Advisory, which is now E&P Financial Group, above creditors when he also served as director of another subsidiary of the firm, E&P Operations. Ryan was appointed ... |
| | | ... in an acting capacity. She is currently deputy chair. "Lisa is a highly regarded non-executive director with financial services experience in funds management, investment banking and stockbroking," VFMC said. In her executive career, Gay spent 20 years ... |
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