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Showing 571 - 580 of 1110 results for "Notice"

UBS fined for careless conduct

DARREN SNYDER  |  WEDNESDAY, 21 NOV 2018
... market integrity rules over a series of trades on the ASX in 2017. The Markets Disciplinary Panel issued the infringement notice for transactions in relation to six on-market buy-backs conducted by UBS on the ASX 2017. The movements "were not in the ...

Royal Commission puts bonuses on notice

HARRISON WORLEY  |  TUESDAY, 20 NOV 2018
... Orr's line of questioning, accepting the staff who acted improperly in the matter did so to maximize their bonuses. "As you notice in my witness statement we didn't do as thorough an investigation as we should have, but I think it's reasonable ...

Pinnacle drops fees in Blue Sky fund bid

KANIKA SOOD  |  MONDAY, 5 NOV 2018
... to contract to five years, after which shareholders will be able to vote out the Alterum agreement on three months' notice. Lastly, Andrew Champion will not seek re-election to the board of BAF at the December extraordinary general meeting to reflect ...

NAB signals more bad advice remediation

KARREN VERGARA  |  THURSDAY, 1 NOV 2018
Among its FY18 results, National Australia Bank flagged that bad advice and fees for no service remediation will continue to dampen its future financial performance. Numerous contingent liabilities and potentially paying out more compensation plagued ...

ASIC keeps watch on SMSF auditors

DARREN SNYDER  |  MONDAY, 29 OCT 2018
... requirements; passing the SMSF auditor competency exam; strict timeframes for responding to the ATO or ASIC; and providing notice of registration conditions to professional associations. ASIC works closely with ATO as co-regulators of SMSF auditors. ...

Early release of super, FHSSS gaining traction: ATO

KARREN VERGARA  |  MONDAY, 22 OCT 2018
... Service (MATS) - this includes details on employer contributions, non-employer transactions, retirement-phase events and notice of intent. "From there, progressively any changes to these types of details will be reported to us within 10 business days ...

NAB still unclear on true impact of misconduct

KANIKA SOOD  |  FRIDAY, 19 OCT 2018
... customers impacted to be "hundreds of thousands" but said for the "precise number", he would have to take the question on notice. "Does that mean a million?" Labor MP Matt Keogh asked. Thorburn indicated it wouldn't be that high. Thorburn also failed ...

ASIC to review FDS compliance

HARRISON WORLEY  |  TUESDAY, 16 OCT 2018
... provided next year. The corporate regulator added is was currently investigating substantial breaches of FDS and renewal notice obligations, and said it expected to take enforcement action.

ASIC appeal convicts former CBA planner

KARREN VERGARA  |  THURSDAY, 4 OCT 2018
... fined $3000 but was not convicted after pleading guilty to a rolled-up charge of forgery. The CDPP subsequently filed a notice of appeal against the sentence on the basis that it was "manifestly inadequate." In ordering a conviction, Judge Rosengren ...

Mainstream loses super fund contract

KANIKA SOOD  |  THURSDAY, 20 SEP 2018
... with Mainstream after it announced plans to merge with a larger super fund in July. Combined Super has filed a termination notice with Mainstream Group Holdings ahead of its intention to merge administration with Prime Super's incumbent service provider. ...