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Showing 511 - 520 of 807 results for "Corporations Act"

ACE forced to pay $1m for poor Combined sales culture

MARK SMITH  |  FRIDAY, 26 FEB 2016
... failure to ensure consumers were given appropriate advice. ACE admitted that there had been contraventions of the Corporations Act and ASIC Act, including a requirement to take reasonable steps to ensure representatives complied with the best interests ...

ACSI and TIAA-CREF drive poll voting

DARREN SNYDER  |  TUESDAY, 9 FEB 2016
... Australian-listed companies for some time. "In the longer term, polling should be a mandatory requirement enshrined in the Corporations Act," Davidson said. "We're seeing an increased interest by international investors in the corporate governance of ...

Cbus Royal Commission findings impact industry

DARREN SNYDER  |  WEDNESDAY, 6 JAN 2016
... Australian Securities and Investments Commission (ASIC) over the information leak and possible breaches of the Corporations Act. Details on former CFMEU construction and general division NSW state secretary Brian Parker have also been referred to ASIC ...

Third SMSF auditor banned

DARREN SNYDER  |  THURSDAY, 3 DEC 2015
... two companies for the years ending 30 June 2013 and 2014 when he was not a registered company auditor under the Corporations Act 2001. ASIC Commissioner John Price said auditors are important gatekeepers who play a crucial role in the SMSF sector. "SMSF ...

CBA refunds $7.6 million to 8400 customers

DARREN SNYDER  |  MONDAY, 19 OCT 2015
... to the Australian Securities and Investments Commission (ASIC) under its breach reporting obligations in the Corporations Act. The package was launched in 2005 but is no longer available to new customers and applied to a range of products including lending ...

Queensland director banned for two years

DARREN SNYDER  |  FRIDAY, 10 JUL 2015
... financial services for two years after failing to ensure the company complied as a Responsible Entity under the Corporations Act. Between March 2013 and July 2014, David Hodgson of Exalt Global Funds Limited was found to have made misleading statements ...

Industry waiting on Frydenberg for adviser education guidance

LAURA MILLAN  |  MONDAY, 19 JAN 2015
... professional requirements and that the term 'financial adviser' and 'financial planner' are enshrined in the Corporations Act so only registered individuals can use these titles. "The question now is how and when," De Gori said, and added that the recommendations ...

Court approves Premium Income Fund settlement

LAURA MILLAN  |  WEDNESDAY, 10 DEC 2014
... KPMG) in relation to alleged breaches of their obligations under the constitution, the compliance plan and the Corporations Act. The class action also included claims of breach of duty by certain directors of the former fund manager and the compliance ...

Treasury seeks consultation on adviser register

LAURA MILLAN  |  THURSDAY, 27 NOV 2014
... advisers, with submissions closing on December 17. The adviser register will be implemented as an amendment to the Corporations Act and approved through regulation. The Treasury's explanatory statement proposes that the register reveals adviser practices' ...

Sophisticated investor register launched

MARK SMITH  |  THURSDAY, 6 NOV 2014
... Cygura then contacts the accountant with a request to certify the investor's status under Chapters 6D and 7 of the Corporations Act (2001). Once the accountant has certified, the investor can log in and share their certificate with investment advisors ...