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Search ResultsShowing 41 - 50 of 100+ results for "Regulatory"
Morningstar introduces new platform
KARREN VERGARA  |  FRIDAY, 15 JAN 2021
... able to evaluate moments in time such as mergers and acquisitions, stock splits, security trades, and governmental and regulatory updates alongside research and valuation data to tell the whole story," he said. Dow Jones general manager of global partnerships ...
IFM impersonated in scam
ELIZA BAVIN  |  THURSDAY, 14 JAN 2021
IFM Investors has become the subject of an email scam as it also battles claims it overvalued certain assets. IFM said the email, purporting to be from the company, has been sent to members of the public requesting them to fill out an application form ...
Fund manager charged with defrauding investors
ELIZA BAVIN  |  WEDNESDAY, 13 JAN 2021
A fund manager has been charged with misappropriating over US$7 million from retail investors who he had duped into believing he was an experienced and successful investment manager. The Securities and Exchange Commission in the US charged Eric Malley ...
ASIC cancels stockbroker AFSL
ANNABELLE DICKSON  |  WEDNESDAY, 13 JAN 2021
The corporate regulator has cancelled the Australian financial services licence of Halifax Investment Services nearly two years after it was placed into administration. The cancellation took effect from 8 January 2021 and allows the licence to operate ...
Australian banks among most fined
ELIZABETH MCARTHUR  |  TUESDAY, 12 JAN 2021
Australian banks have taken the inauspicious title of second most fined in the world for 2020, according to new data. The research from Finbold found that US banks had to pay the most in fines of anywhere in the world - with 12 fines against US banks ...
FASEA urges advisers to maximise exam sittings
ELIZABETH MCARTHUR  |  MONDAY, 11 JAN 2021
... ASIC Financial Adviser Register. FASEA is in the process of being shut down and its functions transferred to other regulatory agencies as the government seeks to act on the Royal Commission's recommendation that the advice sector be regulated by a single ...
Deutsche Bank fined for alleged bribery
ANNABELLE DICKSON  |  MONDAY, 11 JAN 2021
The US Securities and Exchange Commission (SEC) has fined the bank for falsifying payment documentation in relation to third-party intermediaries. Deutsche Bank has agreed to pay more than US$120 million for violations of the Foreign Corrupt Practices ...
ASIC slams auditors
KARREN VERGARA  |  WEDNESDAY, 23 DEC 2020
The corporate regulator has lambasted the major auditors for sloppy work, and poor governance and accountability practices. A sample of audits for the six months to June 2020 questions the quality and integrity of audit services. In aggregate, ASIC ...
FASEA exam results for November 2020
ELIZABETH MCARTHUR  |  TUESDAY, 22 DEC 2020
... give consent, will have their names added to the successful candidates list on the FASEA website." Financial advice regulatory and legal requirements was highlighted by FASEA and exam provider ACER as being an area of knowledge where many of those sitting ...
Foreign investors face tip offs
ANNABELLE DICKSON  |  TUESDAY, 22 DEC 2020
The government has released a new compliance campaign to crack down on foreign investors purchasing residential property and ensuring they are abiding by the guidelines. The Tip Off campaign encourages people to send information to the tax office about ...
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