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Showing 641 - 650 of 8706 results for "Regulator"

4600 relevant providers yet to meet qualification standards: ASIC

KARREN VERGARA  |  TUESDAY, 24 JUN 2025
... for existing providers, or is eligible to access the experienced provider pathway. Elsewhere, Kirkland announced the regulator is kicking off a social media campaign to drive awareness of high-pressure sales tactics and direct people to the Moneysmart ...

ASIC calls on AFS licensees to 'step up'

ELIZA BAVIN  |  TUESDAY, 24 JUN 2025
... review and provided updated guidance for AFSLs on how to reduce share sale fraud risks for clients and businesses. The regulator said the fraudulent activity can have a "devastating financial and emotional impact" on the lives of those who fall victim. ...

SMC backs principles-based approach to corporate governance

ANDREW MCKEAN  |  MONDAY, 23 JUN 2025
... oversight, risk management, and accountability, warning against a 'tick-the-box' approach in its submission to the prudential regulator's Governance Review. "SMC supports changes in the prudential standards that aren't overly prescriptive and continue ...

Australia progresses climate transition disclosures, planning

KARREN VERGARA  |  FRIDAY, 20 JUN 2025
Australia is showing progress with disclosing and adopting its clean energy transition initiatives as investors' demand for credible emissions reduction strategies grows, a study from MSCI shows. Among listed Australian companies analysed in the APAC ...

‍Padua recruits tech professional

ELIZABETH FRY  |  THURSDAY, 19 JUN 2025
Padua Solutions has appointed Dimitri Diamantes to the newly created role of senior technical services manager, overseeing the advice fintech's software, services, research and data divisions. Diamantes has almost two decades of experience in financial ...

Wealth groups tap operations leads

ELIZABETH FRY  |  THURSDAY, 19 JUN 2025
Viola Private Wealth and Aura Group have appointed new operating leads, while MA Asset Management's COO has headed out the door. Aura Group has named Nathan Harris as its new chief operating officer as the firm continues to expand in the private ...

Equity Trustees rapped over the knuckles by ASIC

JAMIE WILLIAMSON  |  THURSDAY, 19 JUN 2025
Equity Trustees was fined nearly $60,000 by the regulator for making misleading statements about the holdings of a sustainable bond fund. Equity Trustees agreed to pay three infringement notices totalling $56,340 over allegations it made misleading ...

Royal London Asset Management plants flag in Australia

ANDREW MCKEAN  |  MONDAY, 16 JUN 2025
Royal London Asset Management has appointed a Sydney-based regional sales head to expand the firm's footprint in Australia. The UK active investment manager named Kevin Haran to assume the newly created role. Haran will be responsible for establishing ...

ASIC takes action on Australian Fiduciaries

KARREN VERGARA  |  MONDAY, 16 JUN 2025
ASIC is investigating Queensland financial services firm Australian Fiduciaries, which has $160 million of investor money, and seeks asset preservation orders and the appointment of receivers. ASIC believes that about 600 retail investors have invested ...

ASIC cancels Financial Services Group Australia's AFSL

KARREN VERGARA  |  MONDAY, 16 JUN 2025
ASIC has cancelled the AFSL of Financial Services Group Australia (FSGA), which has links to the Shield Master Fund and First Guardian Master Fund. FSGA's responsible manager (RM) Graham Holmes has also been permanently banned from working in the ...