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Showing 561 - 570 of 4092 results for "Conduct"

Talent attraction key to family office growth: KPMG

CHLOE WALKER  |  WEDNESDAY, 23 AUG 2023
The growth of local family offices in the past five years is driving an increase in demand for investment and management staff, according to KPMG's Australian Family Office Benchmark Report 2023. The survey, produced by KPMG together with Agreus ...

ASIC cracks down on former adviser, comedian

JAMIE WILLIAMSON  |  TUESDAY, 22 AUG 2023
... According to ASIC's Financial Adviser Register, Valvo was licensed by NextGen Financial Group at the time of the alleged conduct. In September 2021 he moved to We Are Gen Y before ceasing on 30 December 2021. Valvo's ASIC FAR record dates back ...

AMP settles class action for $110m

KARREN VERGARA  |  MONDAY, 21 AUG 2023
... hitting $2.45 at the end 2018. Shares traded at about $1.25 at the time of writing. "As a result of AMP's contravening conduct, the price of AMP's securities was, prior to the Royal Commission disclosures, inflated above their true value and/or ...

Financial Standard kicks off Power50 voting

JAMIE WILLIAMSON  |  MONDAY, 21 AUG 2023
... participants of relevant industry associations, those known among their peers and the industry as role models in the way they conduct their professional practice, or revolutionising and democratising financial advice for the masses. All advisers who ...

Iress sells MFA business, reports $140m loss

CASSANDRA BALDINI  |  MONDAY, 21 AUG 2023
... suspension, Price said the board felt it prudent due to the current environment and the ongoing transformation process. "We will conduct a thorough reassessment of our capital management framework, including a new dividend policy, while we continue to ...

Crypto lender sentenced for false licence

CHLOE WALKER  |  FRIDAY, 18 AUG 2023
... recognisance in the sum of $15,000 for a period of 12-months on the condition of good behaviour. "Helio pleaded guilty to the conduct, and this was taken into account upon sentencing," ASIC said. The charges were brought in April 2022. The maximum penalty ...

ASIC appeal in CBA, CFS case dismissed

JAMIE WILLIAMSON  |  THURSDAY, 17 AUG 2023
... financial adviser receiving a financial incentive might. The case was dismissed in September 2022 with costs, stating that the conduct did not constitute benefits under the definition of 'conflicted remuneration'. The following month ASIC confirmed ...

FSCP issues slap on the wrist to adviser

KARREN VERGARA  |  FRIDAY, 11 AUG 2023
... insurance in their existing superannuation fund, the relevant provider failed to consider their existing insurance or conduct an insurance-needs analysis," the panel determined. "The advice was also inappropriately scoped being limited to superannuation ...

Active Super to face action over greenwashing

RACHEL ALEMBAKIS  |  FRIDAY, 11 AUG 2023
... while purporting otherwise to members. The markets regulator has commenced civil penalty proceedings alleging "misleading conduct and misrepresentations to the market relating to claims it was an ethical and responsible superannuation fund." "Active ...

ASIC sues debt management firm, director

CHLOE WALKER  |  THURSDAY, 10 AUG 2023
... service and carried on a financial services business without the appropriate licence. She also engaged in a system of conduct or pattern of behaviour which was, in all the circumstances, unconscionable, it said. ASIC deputy chair Sarah Court said the ...

Editor's Choice

Global X awards mandate for ETF business

ELIZA BAVIN  |   12:33PM
Global X has awarded a new custody and administration mandate for its Australian ETF business.

Bell Asset Management launches small-caps fund

KARREN VERGARA  |   11:56AM
Bell Asset Management has formally launched its Australian Small Companies Fund, which is run by former Tyndall Asset Management portfolio managers.

Former Australian Ethical finance chief lands new gig

MATTHEW WAI  |   11:09AM
The former chief financial officer of the ethical investment manager has joined a local finance company after wrapping up his tenure at AUB Group.

MySuper assets pursue $1.5tn Choice sector

KARREN VERGARA  |   12:20PM
MySuper assets are fast catching up to the $1.5 trillion Choice sector, hitting nearly $1.2 trillion in the March quarter.

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