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Showing 671 - 680 of 1678 results for "Breach"

Life commissions, referral fees still kosher: AFA

ELIZABETH MCARTHUR  |  THURSDAY, 27 FEB 2020
... the implication is if the referral fee is to the licensee of the CAR instead of the financial adviser then it will not breach the code. That's a really important point when you think about how you might restructure your business," Anderson said.

Analyst guilty of insider trading

ELIZA BAVIN  |  WEDNESDAY, 26 FEB 2020
A former analyst at Maple Brown Abbott has pleaded guilty to five counts of insider trading. Michael Ho entered the guilty plea in Downing Center Local Court in relation to the purchase and sale of Big Un shares and options between 18 July 2016 and ...

Franklin Templeton to acquire Legg Mason

JAMIE WILLIAMSON  |  WEDNESDAY, 19 FEB 2020
Franklin Resources, trading as Franklin Templeton, has entered into a $6.7 billion agreement to acquire Legg Mason, creating a $2.24 trillion investment powerhouse. Under the agreement, which was unanimously approved by both boards, Franklin Templeton ...

SMSF auditors in firing line

ELIZA BAVIN  |  FRIDAY, 14 FEB 2020
... Victoria, have had conditions imposed on them, with ASIC saying they will be disqualified or suspended if they are found in breach of any condition. The various conditions imposed across the auditors were having a number of audits reviewed by an independent ...

De Ferrari unaware of legal action

ELIZA BAVIN  |  THURSDAY, 13 FEB 2020
AMP chief executive Francesco De Ferrari has said he is not aware of any impending legal action in relation to the group's financial advice business. Speaking to media after the release of the group's financial results, De Ferrari said that while he ...

AMP faces fresh class action

ALLY SELBY  |  WEDNESDAY, 12 FEB 2020
AMP is facing a fresh class action, as Shine Lawyers confirms it is investigating whether the firm's financial advisers breached their fiduciary and statutory duties to an estimated 100,000 clients. Shine Lawyers alleges the beleaguered firm failed ...

Product provider makes big FASEA promise

ELIZABETH MCARTHUR  |  WEDNESDAY, 12 FEB 2020
... funds and investment options." In a release, Lonsec said Standard 3 of the FASEA code, which states that an adviser is in breach if "the form of variable income could induce an adviser to act in a manner inconsistent with the best interests of the client" ...

How to lose a mandate

KANIKA SOOD  |  MONDAY, 10 FEB 2020
... fund managers. Together, these investors have more than $482 billion in assets under management. Cyber security, a data breach or a significant data threat jointly topped the list, with 57% chances of the institutional investor putting a fund managermandate ...

AMP to pay $5m for churn

JAMIE WILLIAMSON  |  WEDNESDAY, 5 FEB 2020
... sufficient moral compass to recognise the conduct was wrong and, as AMPFP now accepts, the conduct amounted to a serious breach of the law," Justice Lee said. AMPFP admitted that during July 2013 and September 2014 "it ought reasonably to have known ...

Retirement income review must focus on women: KPMG

HARRISON WORLEY  |  WEDNESDAY, 5 FEB 2020
... to ensure employers who pay additional amounts to people who have taken on additional burdens of primary care are not in breach of the Act, adding women could substantially benefit if employers were free to pay a higher amount of super contributions ...

Editor's Choice

Global X awards mandate for ETF business

ELIZA BAVIN
Global X has awarded a new custody and administration mandate for its Australian ETF business.

Bell Asset Management launches small-caps fund

KARREN VERGARA
Bell Asset Management has formally launched its Australian Small Companies Fund, which is run by former Tyndall Asset Management portfolio managers.

Former Australian Ethical finance chief lands new gig

MATTHEW WAI
The former chief financial officer of the ethical investment manager has joined a local finance company after wrapping up his tenure at AUB Group.

MySuper assets pursue $1.5tn Choice sector

KARREN VERGARA
MySuper assets are fast catching up to the $1.5 trillion Choice sector, hitting nearly $1.2 trillion in the March quarter.

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