Search Results | Showing 41 - 50 of 342 results for "Investigations" |
| | | ... licensees were generally slow to report breaches, with delays driven by the time it took to identify problems and begin investigations. This was happening because of deficiencies in incident management, particularly how licensees identified, escalated ... |
| | | | ... of industry failures. Rest's mishandling comes as other major superannuation funds have been caught up in ASIC investigations and legal action for stalling on death benefit payouts. The industry fund, which has over two million members, wrote to impacted ... |
| | | | ... found licensees were generally slow to report to ASIC because they were slow to identify breaches and commence investigations. "Most licensees in the review identified and recorded very few incidents - over a three-month period, half of the licensees ... |
| | | | ... concerns about the clients suffering detriment." Kirkland said ASIC expects financial advisers undertake reasonable investigations of investment options to detect underperformance and not over-rely on advice licensee product approvals or external research ... |
| | | | ... much money they will be entitled to as part of the process. Additionally, the fund is reviewing and finalising investigations into a smaller cohort of beneficiaries who may also be affected. "AustralianSuper is committed to putting members first, but ... |
| | | | ... or higher returns due to a purported connection with this government scheme," she said. In 2023, ASIC's new investigations grew by 25% year on year, while civil proceedings rose 23%. This included taking action in the areas of greenwashing, cryptocurrency ... |
| | | | ... McWilliams. The receivers, Helen Newman and Andrew Fielding of BDO, have been tasked with, among other things, conducting investigations into the amount of investor funds received by ALAMMC Developments and their related entities, and to provide a report ... |
| | | | ... including the issuance of warnings and terminations of several employees. "My immediate priority is to ensure the investigations are complete in a timely manner, that action is taken against any individuals who have not met the required standards and ... |
| | | | ... response to poor behaviour by employees in its markets business. The regulator acknowledged that ANZ has launched investigations into the issues, but said they still raise prudential concerns that the bank has not adequately addressed deficiencies in ... |
| | | | ... decisions about how to deploy ASIC's limited resources." Longo said in the past year ASIC had commenced around 170 new investigations - an increase of around 25% - and filed 33 new civil proceedings in the Federal Court - an increase of 27%. "Our investigations ... |
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