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Showing 601 - 610 of 1792 results for "Monitor"

Westpac to pay $9.5m for Corps Act breaches

JAMIE WILLIAMSON | THURSDAY, 19 DEC 2019

... Mr Sinha and Westpac", but not always for clients. "Westpac, as Mr Sinha's responsible licensee, failed to properly monitor and supervise Mr Sinha for a period of time. This meant his customers were not provided with advice in their best interests. ...

Westpac served class action

JAMIE WILLIAMSON | WEDNESDAY, 18 DEC 2019

Westpac has confirmed it was served with a class action on behalf of shareholders in relation to the AUSTRAC investigation. The class action has been filed by Phi Finney McDonald. The claim relates to market disclosure issues connected to Westpac's ...

Responsible entity declares insolvency

JAMIE WILLIAMSON | TUESDAY, 17 DEC 2019

... misleading statements and failing to disclose required information. It is also alleged Theta and Marie failed to effectively monitor the performance of Sterling Corporate Services as investment manager or manage conflicts of interest. While the defective ...

ASIC launches action against AFSL, director

ELIZA BAVIN | WEDNESDAY, 11 DEC 2019

... Sterling Income Trust, Theta issued five defective PDSs for the trust and failed to take all steps necessary to effectively monitor the performance of Sterling Corporate Services as the investment manager. ASIC also alleges Theta failed to identify ...

ASIC lifts ban on new opaque active ETFs

KANIKA SOOD | WEDNESDAY, 11 DEC 2019

... other jurisdictions have implemented active ETFs that don't disclose portfolio holdings everyday. "We will continue to monitor international developments," it said. "ASIC's current position is that, with the aforementioned controls in place, internal ...

FASEA under pressure on managed accounts

ELIZABETH MCARTHUR | WEDNESDAY, 4 DEC 2019

The Financial Adviser Standards and Ethics Authority is under pressure to clarify its stance on all forms of managed accounts. FASEA chief executive Stephen Glenfield confirmed he has met with the Institute of Managed Account Professionals and is considering ...

Rest climate risk case goes to trial

ELIZABETH MCARTHUR | MONDAY, 2 DEC 2019

... a member of the United Nations Principles for Responsible Investment and says it is strengthening efforts to measure, monitor and report on climate-related risks. But, Barnden pointed out what the fund is doing now in relation to climate change is irrelevant ...

New tool launches to help FASEA code compliance

ELIZABETH MCARTHUR | MONDAY, 2 DEC 2019

... businesses are seeing opportunity. One such organisation is MyNextAdvice, which has launched a solution to help licensees monitor adviser compliance. "ASIC has mandated that AFS Licensees are responsible for monitoring adviser compliance with the code ...

FASEA compliance has silver lining

KANIKA SOOD | FRIDAY, 29 NOV 2019

For financial planning practices that don't have a clearly laid out business plan, the workload of meeting FASEA's Code of Ethics requirements can be a great push to get it in order, according to a speaker at the FPA Congress. In a session about ...

Super fund PDSs to include single cost of product figure

HARRISON WORLEY | FRIDAY, 29 NOV 2019

... regulator to clarify how financial advisers should use fees and costs information when giving advice. ASIC added it would monitor fees and costs disclosure and consider taking action where it found misconduct. Rainmaker head of superannuation research ...

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Federal Court calls out ASIC for re-running case on appeal

RIDDHIMA TALWANI

The Full Federal Court of Australia has criticised regulators for falling back on appeals to re-litigate cases on a different legal basis than the one run at trial.

Evergreen founder exits Ascalon Capital

KARREN VERGARA

Ascalon Capital has bid farewell to Evergreen Consultants' founder Angela Ashton, shortly after acquiring the consulting firm last year.

Powerhouse Ventures partners with European fund manager

KARREN VERGARA

ASX-listed Powerhouse Ventures has partnered with an unnamed European fund manager that will commit US$50 million to its fledgling Critical Infrastructure Opportunities (CIO) Fund.

KeyInvest unveils new investment platform, awards mandate

MATTHEW WAI

KeyInvest has launched a new investment platform to include a plethora of investment strategies ranging from private credit to global equities.

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