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Showing 41 - 50 of 936 results for "Representatives 221"

Former staffer sues ASX, Lofthouse over bullying

ELIZA BAVIN  |  TUESDAY, 16 SEP 2025
ASX chief executive Helen Lofthouse is being sued by the former ASX head of trading technology Jamie Halstead, accusing Lofthouse of bullying. Halstead has also alleged the ASX failed to provide adequate resources for major projects, including the embattled ...

ANZ fined $240m for bond trading, retail misconduct

KARREN VERGARA  |  MONDAY, 15 SEP 2025
ANZ has copped a whopping $240 million fine for bank-wide "unconscionable conduct" that includes admitting it was guilty of misleading the government over the $14 billion bond scandal. The misconduct relates to five separate matters spanning the retail ...

InterPrac wants super funds' reserves to remediate Shield, First Guardian victims

KARREN VERGARA  |  FRIDAY, 5 SEP 2025
InterPrac Financial Planning wants to rid itself of remediation obligations regarding the collapse of the Shield Master Fund and First Guardian Master Fund, saying that victims should be "fully compensated" via superannuation funds' reserves. InterPrac ...

ASIC to review RG97 to boost property supply

JAMIE WILLIAMSON  |  WEDNESDAY, 13 AUG 2025
ASIC is reviewing the need for superannuation funds to include stamp duty payments in fee disclosures in a bid to boost their investment in property. Super funds have long held concerns that obligations under Regulatory Guide 97: Disclosing fees and ...

Sequoia resumes trading after ASX query

ELIZA BAVIN  |  WEDNESDAY, 30 JUL 2025
Sequoia Financial Group has resumed trading after it responded to ASX queries over recent movement in the price and trading volumes of the stock. This comes as it also announced the departure of a board director. Sequoia entered a trading halt on July ...

ASIC bans investment scammer

KARREN VERGARA  |  WEDNESDAY, 23 JUL 2025
ASIC has permanently banned the founder of Maxwell Financial Services and Asset Capital Holdings, Matthew Allen Beresford, from working in financial services, after he was found guilty of running an investment scam. ASIC has also permanently banned ...

ASIC sues Fortnum Private Wealth

KARREN VERGARA  |  TUESDAY, 22 JUL 2025
... of its financial advisers and clients. In the NSW Supreme Court, ASIC alleges Fortnum exposed its authorised representatives (ARs) and clients to an "unacceptable level of risk of a cyber-attack or a cybersecurity incident". Fortnum introduced a specific ...

ASIC bans advisers for dodgy Shield Master Fund advice

KARREN VERGARA  |  WEDNESDAY, 9 JUL 2025
Two former MWL Financial Services financial advisers who invested clients' superannuation in the Shield Master Fund have copped bans from the regulator. Matthew Simon Bradley has ceased working in financial services for eight years after ASIC found ...

Licensee compliance head banned over fees for no service

MATTHEW WAI  |  WEDNESDAY, 9 JUL 2025
The former head of compliance at a now defunct advice licensee has been banned for three years over the way he dealt with an adviser's fees for no service misconduct. Former Crown Wealth Group director and head of compliance Andrew Moore has been banned ...

Chalmers opens economic reform consultation

ELIZA BAVIN  |  MONDAY, 30 JUN 2025
Treasurer Jim Chalmers has opened the new economic reform consultation paper while issuing more invitations to the government's Economic Reform Roundtable. "The roundtable is an important opportunity to build consensus for long term economic reform," ...