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Showing 521 - 530 of 1885 results for "Authority"

Former adviser jailed for six years

KARREN VERGARA  |  WEDNESDAY, 26 MAY 2021
... Hopkins commenced in 2019 in response to allegations that QWL had failed to assist the Australian Financial Complaints Authority in resolving client complaints. In delivering the sentence, Judge Wood said Hopkins' behaviour was "deeply stupid". He ...

JANA appoints head of sustainability

KANIKA SOOD  |  MONDAY, 24 MAY 2021
... Africa.Prior to this, she was an investigator in enforcement and financial crime division of the UK's Financial Conduct Authority. "JANA has been steadily expanding our capabilities in the sustainability space in recent years. We are thrilled to have ...

ASIC bans Theta managing director

KARREN VERGARA  |  MONDAY, 17 MAY 2021
... a penalty of $100,000 and $2 million respectively. Several SIT investors took to the Australian Financial Complaints Authority in the hope of receiving compensation, but Theta was already in the process of folding, having appointed Worrells Solvency ...

FASEA approves two degrees

KARREN VERGARA  |  MONDAY, 17 MAY 2021
The Financial Advisers Ethics and Standards Authority has added two degrees to its approved list of courses. Any bachelor's degree with a major in financial services that commenced from March 2021 at Southern Cross University has been given FASEA's ...

AFCA welcomes new chair

KARREN VERGARA  |  MONDAY, 17 MAY 2021
An Order of Australia recipient has been named the new chair of the Australian Financial Complaints Authority, replacing Helen Coonan. John Pollaers is the new independent chair of AFCA, replacing Coonan, whose tenure comes to an end this month. Coonan ...

ASIC to wind up PE Capital

ELIZABETH MCARTHUR  |  FRIDAY, 14 MAY 2021
... from an AFSL holder. The claim says PE Capital held itself out as being a corporate authorised representative with the authority to issue information memorandums for unregistered schemes and special purpose vehicle trusts. On top of that, ASIC claims ...

Advice practices set to benefit from tax cuts

KARREN VERGARA  |  WEDNESDAY, 12 MAY 2021
... tinkered with, a position the FPA has consistently held." The government has given the Financial Standards and Ethics Authority (FASEA) $2.5 million until it wraps up at the end of 2021. "There is still significant regulatory change this year with the ...

Key Treasury initiatives outlined

JAMIE WILLIAMSON  |  TUESDAY, 11 MAY 2021
... ASIC and the Small Business Ombudsman ($49m) and the continued operation of the Financial Adviser Standards and Ethics Authority until December 31 ($2.5m).

Legalsuper adds Law Institute of Victoria chief

JAMIE WILLIAMSON  |  TUESDAY, 4 MAY 2021
... Kirsten Mander said. He also brings additional strong governance credentials, having previously served on statutory authority boards and audit and risk committees, she added. "We regard this as a vital attribute, in keeping with legalsuper's recognised ...

OpenMarkets hires, acquires, preps for IPO

ELIZABETH MCARTHUR  |  FRIDAY, 30 APR 2021
... have retreated from the sector because of higher standards and costs from the Financial Adviser Standards and Ethics Authority. Those advisers who do remain focus almost exclusively on high-net-worth customers."