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Showing 591 - 600 of 4451 results for "October"

ASIC revises IDR reporting framework

JAMIE WILLIAMSON  |  MONDAY, 8 MAY 2023
... required to record all complaints received and have an effective system for recording information about complaints since 5 October 2021.

Dalton Street fund terminated

JAMIE WILLIAMSON  |  THURSDAY, 4 MAY 2023
... Funds Management. At the time, the fund had about $36 million in assets under management. Fund documents show that, as at October 2022, the fund only had $2.16 million in assets and was available on the Netwealth, BT, Asgard, Macquarie and HUB24 plat ...

Issuers must lift DDO game: ASIC

CASSANDRA BALDINI  |  THURSDAY, 4 MAY 2023
... inadequate product governance arrangements. "Investment product issuers have been on notice to meet obligations since October 2021. It is disappointing to see DDO deficiencies across the board, and by large and small product issuers alike," said ASIC ...

Future Super accused of greenwashing via Facebook post

JAMIE WILLIAMSON  |  TUESDAY, 2 MAY 2023
... overstated the positive environmental impact of the fund. The post was created on 29 May 2019 and remained on the page until October 2022. "The post on the Future Super Fund Facebook page overstated the positive environmental impact of the fund and we ...

Skynet fraudster terminated by ASIC

JAMIE WILLIAMSON  |  FRIDAY, 28 APR 2023
... repeated and extended over several years", and that Nugara did not respond to any of its concerns. Nugara was arrested in October 2022 on 35 counts of obtaining financial advantage by deception. He is currently in custody. After fleeing Australia in ...

ASIC updates breach reporting guidelines

KARREN VERGARA  |  FRIDAY, 28 APR 2023
... financial advisers, banks and insurance firms that expressed operational issues with the regime since its introduction on 1 October 2021. The updates include the clarification of circumstances in which licensees may group multiple reportable situations ...

Former adviser jailed for nine years

KARREN VERGARA  |  MONDAY, 24 APR 2023
... a representative for Sentinel Wealth when the crimes took place, defrauded clients between $60,000 and $745,000 during October 2016 and March 2020, the District Court of New South Wales heard on April 21, only to use the funds to feed his gambling addiction. ...

High Court rejects Mayfair 101 plea

JAMIE WILLIAMSON  |  MONDAY, 24 APR 2023
... Mawhinney has seen his High Court appeal rejected, allowing ASIC's case against him to be retried in the Federal Court. In October 2022, the Full Federal Court ordered a retrial after it found ASIC's original case against Mawhinney lacked procedural ...

PensionDanmark chief executive to retire

CHLOE WALKER  |  FRIDAY, 21 APR 2023
... the task to develop PensionDanmark into an important supplier of sustainable welfare solutions for common Danes. "As of October 1, I will spend my time on board work, advisory tasks, my family and other private priorities." Pedersen will remain as chief ...

Link Group sells Funds Solutions, settles with FCA

CASSANDRA BALDINI  |  THURSDAY, 20 APR 2023
... Luxembourg and Swiss entities. The FCA has signalled it will support the sale, Link said, which is expected to complete in October. Link has also reached a settlement with the FCA over its involvement in the Woodford collapse, saying the total amount ...