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Showing 31 - 40 of 130 results for asic shield

MIS review ignores key issues: FAAA

KARREN VERGARA | TUESDAY, 3 MAR 2026

... readily available markets and transparent pricing. The FAAA urged for greater controls and obligations for wholesale trusts as ASIC has very little data on these, yet registered retail trusts can readily invest in unregistered wholesale trusts where ...

Governance issues on the rise: ASIC

ELIZA BAVIN | WEDNESDAY, 25 FEB 2026

... 31 December 2025, the corporate watchdog received 9686 reports of misconduct (ROMs), raising 13,036 issues, new data from ASIC shows. ASIC said the increase in ROMs was driven largely by corporate governance concerns, including failures to provide company ...

Sequoia weighs InterPrac's fate, launches review

KARREN VERGARA | TUESDAY, 24 FEB 2026

... avenues including engagement with Kings Counsel on these matters." Furthermore, Crole said recent developments along with the ASIC notices and AFCA defences have "constrained new business flows and necessitated a decision by the board to undertake a ...

Equity Trustees places superannuation arm under review

JAMIE WILLIAMSON | THURSDAY, 19 FEB 2026

... matters. So far it has spent $1 million (net of insurance) on legal and advisory services to defend the action brought by ASIC in August last year and a further $1.1 million on improving its superannuation governance processes and responding to regulatory ...

Opposition leader unveils fresh shadow cabinet

RIDDHIMA TALWANI | WEDNESDAY, 18 FEB 2026

... before Ley's exit. Conaghan is considered an ally by many in the advice space and has been outspoken on the collapse of Shield and First Guardian and a vocal critic of ASIC's handling of the issue. Senator Claire Chandler has been appointed as ...

ASIC reviews lead generators again, names advisers using them

JAMIE WILLIAMSON | WEDNESDAY, 18 FEB 2026

Two years on from a review into cold calling and lead generators, ASIC is launching another into the advice licensees that use them. ASIC said the aim of the review is to address practices that inappropriately or unnecessarily encourage consumers to ...

Senate questions APRA's role in Shield, First Guardian disaster

KARREN VERGARA | FRIDAY, 13 FEB 2026

... regulate and could not have regulated Shield and First Guardian, which were managed investment schemes subject to regulation by ASIC," he said. "APRA oversees around 56 superannuation trustees who collectively have 81 superannuation funds. Combined ...

Another MWL Financial Services adviser banned

ANGELIQUE MINAS | THURSDAY, 12 FEB 2026

Effective February 5, ASIC banned former MWL Financial Services (MWL) adviser Neil McPherson for giving advice to certain clients that was not in their best interests. An investigation found that during his tenure with MWL, McPherson recommended some ...

Treasury to reform managed investment scheme governance

KARREN VERGARA | TUESDAY, 10 FEB 2026

... managed. Existing audit and assurance standards should be mandatory for auditors of compliance plans, while REs should notify ASIC of the appointment, removal or resignation of committee members. This is in addition to increasing ASIC's data collection ...

Deadline approaches for Shield, First Guardian victims

MATTHEW WAI | FRIDAY, 6 FEB 2026

... complaint in relation to the Shield and First Guardian Master Funds, as the deadline for some fast approaches. Funded by ASIC, the new website was launched by Super Consumers Australia (SCA) to provide detailed information and self-help tools for those ...

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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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