Search Results | Showing 681 - 690 of 2778 results for "OCC" |
| | | A trading platform has copped a fine of $110,250 for breaching enquiry rules and compliance obligations. BGC Partners breached the ASX 24's trading rules on two occasions on 22 March 2019, according to the Markets Disciplinary Panel, by transacting ... |
| | | | New data has found that in 2021 stocks recommended by Reddit's popular WallStreetBets (WSB) community resulted in more losses than returns. The data was compiled by European trading platform Capital.com, and suggests relying on advice in the WSB forum ... |
| | | | Actively managed global equities exchange-traded products have grown significantly off the back of ETPs converting from unlisted unit trusts. In September 2020, total assets of actively managed international equities ETPs were $3.7 billion, representing ... |
| | | | Members of Media Super have received an apology from the fund after it was discovered the information underpinning its benefit projection tool hadn't been updated since 2015. Media Super's Retirement Income Simulator was made available on its public ... |
| | | | Financial advisers who failed the mandatory examination multiple times are slamming FASEA's feedback process, claiming it is inconsistent and fails to help them stay in the industry. As the failure rate continues to balloon, advisers making genuine ... |
| | | | The Financial Services Council released two new standards, one of which helps members abide by the newly mandated advice fee consent requirements. FSC members will need to comply with FSC Guidance Note No. 43 from 1 January 2022, which was constructed ... |
| | | | The Financial Services Council appointed an acting chief executive as it looks to replace Sally Loane, who steps down on December 23. Blake Briggs, currently the deputy chief executive of the FSC, will take the top job in the interim. Briggs joined ... |
| | | | ASIC has banned the directors of Premier Wealth Management from providing financial advice, while also stripping the firm of its AFS licence. The corporate regulator announced on Tuesday (December 14) it has banned Sydney-based financial advisers Gerald ... |
| | | | superannuation members. Avanteos pleaded guilty to 18 criminal charges relating to failures to update defective disclosure statements and continuing to charge fees to deceased super fund members. At the time of the offending, Avanteos was a subsidiary ... |
| | | | Haven Green and 3PD have entered into a back-to-back alliance agreement. The new agreement means 3PD will represent Haven Green Investment Managers in Australia and New Zealand and Haven Green will represent 3PD's managers in Europe, Middle East, Asia ... |
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