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Showing 701 - 710 of 4211 results for "Action"

Trading platform pays $830k over suspicious trades

JAMIE WILLIAMSON | THURSDAY, 21 SEP 2023

... Brokers' response to the situation was inadequate for several reasons, including how long it took to close alerts, a lack of action to address the suspicious trades, and its failure to lodge a suspicious activity report with ASIC until 5 November 2021. ...

ASIC takes legal action against crypto exchange

ANDREW MCKEAN | THURSDAY, 21 SEP 2023

... continue to be scrutinised by ASIC to ensure they comply with regulatory obligations in order to protect consumers." "ASIC's action should be a reminder of the importance to comply with the design and distribution obligations so that financial products ...

OTPP, PGGM chief investment officers resign

JAMIE WILLIAMSON | WEDNESDAY, 20 SEP 2023

... said. "He has also played a critical role in establishing our multifaceted climate strategy and as an active advocate for action on diversity, equity and inclusion, both internally and through engagement with our portfolio companies." For his part, Hindo ...

Treasury consults on PwC-linked reforms

CASSANDRA BALDINI | WEDNESDAY, 20 SEP 2023

... misconduct by advisers, including but not limited to confidentiality breaches, to professional associations for disciplinary action. Whistleblower reforms will also be extended, to protect persons who wish to disclose alleged misconduct to the TPB, the ...

Project to tackle dwindling number of risk advisers

CASSANDRA BALDINI | TUESDAY, 19 SEP 2023

In response to the scarcity of risk advisers in the country, Risk Hub and LGF Financial Services (Loyalty) are collaborating on a pilot project aimed at addressing the issue. The pilot project, due to be rolled out in the coming months, will invite ...

Boards must crack down on cybersecurity: ASIC

CASSANDRA BALDINI | TUESDAY, 19 SEP 2023

The regulator has warned it will take action against boards and directors that neglect cybersecurity risks, saying to do so could result in non-compliance with regulatory obligations. ASIC chair Joe Longo said cybersecurity and resilience are not merely ...

Responsible investment AUM drops: RIAA

RACHEL ALEMBAKIS | MONDAY, 18 SEP 2023

... responsible investment approaches, finding that $790 billion of AUM is covered by corporate engagement and shareholder action, ESG integration on $783 billion and negative screening at $664 billion, a decline from $705 billion in 2021. Herd commented ...

Aware Super rolls out adviser portal

KARREN VERGARA | THURSDAY, 14 SEP 2023

Aware Super has launched a new portal for financial advisers as part of its digital transformation project. Adviser Portal can view their client dashboards, change investment options, manage client contributions, and track actions requested on behalf ...

ASIC cracks down on CFDs, OTC derivatives

KARREN VERGARA | WEDNESDAY, 6 SEP 2023

... produce deficient TMDs and fail to meet DDO. Based on its findings, ASIC warned that it will not hesitate to take further action on issuers that dismiss their regulatory obligations. ASIC found that some TMDs reviewed lacked sufficient granularity and ...

Government passes FAR legislation

KARREN VERGARA | WEDNESDAY, 6 SEP 2023

... power to disqualify accountable persons, investigate suspected breaches of the regime, and direct entities to take remedial action and to apply to the Federal Court to impose a civil penalty on accountable entities," Jones said. BEAR, the FAR's first ...

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Mulino brings New Class of Advisers to life, guarantees fairer CSLR funding

KARREN VERGARA

Assistant treasurer Daniel Mulino will forge ahead with the New Class of Advisers (NCAs) as part of highly anticipated Delivering Better Financial Outcomes (DBFO) reforms and laid out a blueprint of how the Compensation Scheme of Last Resort (CSLR) will be fairer for financial advisers.

Munro Partners to acquire GSFM

VINNY VUCAGO

Munro Partners will acquire GSFM, the Australian investment fund management affiliate of CI Global Asset Management, in a deal designed to strengthen its local distribution capabilities.

Treasury consults on foreign investment framework reforms

RIDDHIMA TALWANI

Treasury has opened a consultation to review existing conditions required for foreign investment approvals in Australia.

Australians struggle to navigate super and age pension divide

VINNY VUCAGO

Australians are approaching retirement with growing uncertainty about how superannuation and the Age Pension will work together, with new research pointing to gaps in both preparedness and confidence.

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Christian Mueller-Glissmann

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When geopolitics becomes a portfolio risk

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Tania Milnes

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Andrew Gregory

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UNISUPER

After 25 years, Andrew Gregory remains motivated by the impact financial advice can have on Australians' lives. As UniSuper's chief advice officer, he is not slowing down on any of his current ambitions. Matthew Wai writes.

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