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Showing 711 - 720 of 1144 results for "Notice"

ASIC calls time on super disclosure exemption

ALEX BURKE  |  FRIDAY, 20 JAN 2017
... employees, are not required to publish governing rules, recent actuarial reports and "summaries of each significant event notice made to RSE members in the previous two years." ASIC said this will change in July, when trustees will need to make all relevant ...

Second Sydney airport lacking investment return

EMMA RAPAPORT  |  THURSDAY, 19 JAN 2017
... Commonwealth government given the geographical and financial challenges of building the second airport. However, in their 'notice of intention', the government indicated that it expects the private sector to bear all the risks and fully fund the project. ...

ASIC imposes $40,000 penalty

EMMA RAPAPORT  |  TUESDAY, 17 JAN 2017
Financial services firm Pershing Securities paid a $40,000 infringement notice issued by ASIC's Markets Disciplinary Panel after a failure of its automated processing system. In a statement released by ASIC, the Markets Disciplinary Panel said they ...

BTIM executive leaves for boutique manager

EMMA RAPAPORT  |  TUESDAY, 17 JAN 2017
... said he is leaving JOHCM and BTIM to invest in a UK boutique asset management firm, and after the expiry of his six month notice period, will become its chief executive. "I feel now is the right time for me to take on my next challenge," Rochussen said. ...

Hunter Hall ethical mantle in doubt as CIO resigns

ALEX BURKE  |  TUESDAY, 3 JAN 2017
... who announced his resignation on December 30. Hall will continue on as chief investment officer for six months as per his notice period, and will also remain indefinitely as chief executive and director of the Global Value fund. Although Hunter Hall's ...

CommSec pays $200,000 penalty

KERRIE SYDEE  |  WEDNESDAY, 16 NOV 2016
CommSec has paid a $200,000 infringement notice penalty after failing to apply a holder record lock to the accounts of a deceased client and entering into unauthorised market transactions following the client's death. The Markets Disciplinary Panel ...

Trump and Brexit comes back to haunt

BENJAMIN ONG  |  FRIDAY, 4 NOV 2016
... of March 2017, the UK High Court ruled that, "The government does not have power under the Crown's prerogative to give notice pursuant to Article 50 for the UK to withdraw from the European Union." Brexit cannot proceed without approval from Parliament. ...

ASIC permanently bans dishonest adviser

KERRIE SYDEE  |  MONDAY, 31 OCT 2016
ASIC has permanently banned a New South Wales financial adviser from providing financial services. Ashley Howard was banned after an investigation found he had engaged in dishonest conduct, maintained that trading he was conduction was authorised, provided ...

CBA responds to systemic advice failures

KERRIE SYDEE  |  FRIDAY, 28 OCT 2016
The Commonwealth Bank of Australia will repay more than 65% of the $154 million in required compensation estimated by ASIC. In response to ASIC's report 'Financial advice: Fees for no service', CBA has confirmed it will be refunding $105 million in ...

Succession planning placed on the backburner

KERRIE SYDEE  |  TUESDAY, 25 OCT 2016
... as illness, medical issues or even death strikes. "Never before have I seen so many buyers trying to sell at such short notice and retirement is the overwhelming reason for the sales," Tynan said "Depending on who you talk to, they will say (optimistically) ...