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Showing 711 - 720 of 894 results for "Failing"

Securities dealer scales back after ASIC review

LAURA MILLAN  |  THURSDAY, 4 APR 2013
... misleading or deceptive conduct by making dishonest statements to a client about where their money was to be invested and failing to invest $200,000 he received from a client and using it for his own advantage including paying credit card debts and purchasing ...

Super members fail to top-up amid 'perfect storm'

MARK SMITH  |  TUESDAY, 19 MAR 2013
As many as two thirds of Australians are failing to make extra superannuation contributions to meet the expected shortfall in retirement funding, a new report commissioned by Club Plus Super shows. According to the report, an increasing number of people ...

Advisers overlooking business development

MARK SMITH  |  WEDNESDAY, 13 MAR 2013
Advisers are failing to take advantage of the help their dealer group can offer them to grow their business, according to a recent survey from boutique financial services firm The Advice Exchange. The private equity firm surveyed 200 advisers and found ...

Former Astarra director permanently banned from fin services

LAURA MILLAN  |  THURSDAY, 7 MAR 2013
... that it has permanently banned former Astarra Asset Management director Eugene Liu from providing financial services for failing to comply with financial services laws. Liu was director and chief investment strategist of AAM (formerly Absolute Alpha ...

Market wrap - morning

AAP  |  TUESDAY, 5 MAR 2013
... to $US1.2995 from $US1.3018 late on Friday in New York. HONG KONG - Asian markets have mostly tumbled with US lawmakers failing to prevent the imposition of $US85 billion ($A83.74 billion) in spending cuts that kicked in at the end of last week. Chinese ...

SMSF trustees confident backing their limited advice

BEN COLLINS  |  WEDNESDAY, 13 FEB 2013
... decisions. But, Schoenheimer said that the report shows that a lack of diversification means these same people could be failing to identify better opportunities with a broader range of asset classes, such as international equities. Schoenheimer also ...

Mac Private Wealth forced to rectify serious deficiencies

MARK SMITH  |  WEDNESDAY, 30 JAN 2013
... repeated shortcomings involving a significant number of advisers. The deficiencies, which include poor record keeping and failing to demonstrate basis for advice, were first identified by the Macquarie's own review process as far back as 2008. ASIC's ...

Trio Capital action group to put forward Federal Candidate

BEN COLLINS  |  TUESDAY, 22 JAN 2013
... Australian Securities & Investments Commission (ASIC) and the Australian Prudential Regulation Authority (APRA) of allegedly failing in their roles as gatekeepers, as well as a Parliamentary Joint Committee set up to investigate the fraud of allegedly ...

Same old blues but some upside in 2013: Russell and Threadneedle

MARK SMITH  |  TUESDAY, 20 NOV 2012
... be constructive for share prices. However, despite the improving environment, both men said that the threat of the US failing to address the fiscal cliff and ongoing debt concerns in the eurozone would continue to weigh on sentiment. "The next phase ...

Advisers failing to engage disillusioned consumers

MARK SMITH  |  THURSDAY, 1 NOV 2012
The advisory community is falling short of its need to engage the hordes of consumers disillusioned by subdued sentiment and negative press, a panel of industry experts has said. Speaking at the annual AFA National Conference on the Gold Coast last ...