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Showing 61 - 70 of 611 results for "Financial products"

UK to ban cold calling on all financial products

JAMIE WILLIAMSON  |  FRIDAY, 5 MAY 2023
The UK is planning to ban cold calling on all financial products as part of a broader strategy for tackling scams. In an announcement from prime minister Rishi Sunak, the government said it is going to stop scams before they reach people. In part, this ...

Issuers must lift DDO game: ASIC

CASSANDRA BALDINI  |  THURSDAY, 4 MAY 2023
... DDO, now in their second year, mark a significant shift to outcomes-based regulation. Ultimately, it requires financial products to be designed and distributed with clear and contemporary consideration of the objectives, financial situation and needs ...

Illegal early release of super sees director banned

CHLOE WALKER  |  TUESDAY, 18 APR 2023
... websites, including that Enigma Corporation, Equitibanx and CMG were licensed or authorised to provide certain financial products and services, when they were not. Although ASIC raised concerns about these statements with Edden-Brown in December 2020 ...

Finfluencer barred from running online advice business

CHLOE WALKER  |  FRIDAY, 14 APR 2023
... shares based on these recommendations, did not have the benefit of these protections. "Anyone who recommends financial products or provides financial advice on social media must ensure they are complying with the law and may face ASIC enforcement action ...

Former AMP adviser pleads guilty to dishonest conduct

KARREN VERGARA  |  MONDAY, 27 MAR 2023
... working in advice on the grounds he engaged in dishonest conduct relating to client records and applications for financial products, and not leaving them in a better position after receiving his advice. ASIC added that the incomplete disclosure of the ...

Former director hit with dishonesty charges

ANDREW MCKEAN  |  WEDNESDAY, 22 MAR 2023
... provide financial product advice during the time of the alleged misconduct. Engaging in dishonest related to financial products or services while operating a financial services business can carry a maximum penalty of 15 years imprisonment. Alternatively ...

New relief for reissued life policies

KARREN VERGARA  |  MONDAY, 20 MAR 2023
... where a policy needs to be reissued. The conditional relief pertains to Design and Distribution Obligations for financial products issued before 5 October 2021 (when the DDO came into effect), except where the policy is reissued to correct an administrative ...

Mercer embroiled in greenwashing allegations

KARREN VERGARA  |  TUESDAY, 28 FEB 2023
... and engaged in conduct that could mislead the public. "There is increased demand for sustainability-related financial products, and with that comes the growing risk of misleading marketing and greenwashing. If financial products make sustainable investment ...

Advice group convicted of hawking

JAMIE WILLIAMSON  |  WEDNESDAY, 22 FEB 2023
... anti-hawking regime were in response to clear consumer harm when it came to the unsolicited calls involving financial products. ASIC strongly advocated for these reforms and will continue to pursue action in the court where we see a disregard for these ...

ASIC acts to combat financial inequality for First Nations people

ANDREW MCKEAN  |  WEDNESDAY, 15 FEB 2023
... engagement between ASIC and its stakeholders, including reducing harm and misconduct, providing accessible financial products and services, increasing holistic service delivery, and establishing culturally appropriate experiences when engaging with financial ...

Editor's Choice

Early release of super scammers cop prison time

KARREN VERGARA
Three people will go to prison after pleading guilty to defrauding the COVID-19 early release of superannuation scheme for $103,500.

Super funds slash external mandates by 54%

KARREN VERGARA
The number of investment managers winning institutional mandates has tanked 54% in less than two years as superannuation funds ramp up the in-house management of assets, Rainmaker Information research reveals.

ASIC tells super funds to 'step it up'

ELIZA BAVIN
ASIC commissioner Simone Constant delivered a stern warning to super fund trustees.

Brookfield bids for majority stake in Neoen

ANDREW MCKEAN
Brookfield and its institutional partners have lobbed a bid to acquire a 53% majority stake in French renewable energy company Neoen.

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