Search Results | Showing 51 - 60 of 3641 results for "Action" |
| | | Piper Alderman has formally filed its class action against International Capital Markets (IC Markets) for offering contracts for difference to retail investors. The law firm began investigating the potential for a class action in October 2023. Now filed ... |
| | | | ... position, they play a key role in upholding the integrity and confidence of the SMSF sector. ASIC will continue to take action where conduct falls short," she said. |
| | | | ASIC deputy chair Sarah Court has reaffirmed that the corporate regulator is targeting member service failures, greenwashing, and inappropriate fees and charges, cautioning the superannuation industry to lift its game. At an industry event, Court said ... |
| | | | ... response and may intensify supervision, require root cause analysis, request remediation plans, and consider enforcement action." An example of this was the regulator's action against NGS Super in December, slapping the $14 billion super fund with additional ... |
| | | | ... and operation of AI by financial services licensees." Longo disclosed that the corporate regulator is already pursuing an action in which AI-related issues arise, where it believes the use of a demand model was part of an insurance pricing process that ... |
| | | | ... Ryan said. "Superannuation funds, insurance companies, advisers etc. all have the ability to query us on our policies, our action plans and how we are tracking." Belinda White, responsible investment specialist at First Sentier Investors says mandatory ... |
| | | | ... no longer able to make withdrawals. The SEC filed its complaint in the federal district court of Maryland. In its civil action, the regulator seeks "permanent injunctive relief, conduct-based injunctions preventing the defendants from participating in ... |
| | | | abrdn will cut 10% of its workforce as part of a cost cutting exercise following significant outflows in the second half of 2023. The fund manager is targeting a cost reduction of $290 million (£150m) by the end of 2025 to restore its investments division ... |
| | | | ... will be the final extension and that it will focus its efforts on enforcing the registration regime and take regulatory action where necessary. ASIC commissioner Alan Kirkland said failure to comply could incur significant consequences for unregistered ... |
| | | | ... licensee. If they miss the deadline and continue to provide advice, the adviser and their licensee may face regulatory action. "While there have been a number of communications about this new obligation, we are aware that many licensee staff and advisers ... |
|
