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Showing 61 - 70 of 121 results for "Undertakings"

AMP Capital appoints London-based institutional director

LAURA MILLAN  |  THURSDAY, 24 APR 2014
... Europe, Middle East and Africa Richard Shields. Campbell will also focus on fundraising for AMP Capital's UCITS (Undertakings for Collective Investment in Transferable Securities) platform and for its unlisted infrastructure business. She will work with ...

AMP launches infrastructure and real estate UCITS platform

STAFF WRITER  |  MONDAY, 7 APR 2014
... with US$156 million in assets under management, which will be split equally between the two strategies. A UCITS (Undertakings for Collective Investment in Transferable Securities) platform is an investment vehicle that enables fund managers to more easily ...

ASIC takes most action against small business owners

LAURA MILLAN  |  MONDAY, 3 FEB 2014
... ASIC took a total of 78 actions in financial services, 34 of which were administrative remedies, 23 were enforceable undertakings or negotiated outcomes and 12 were criminal procedures. The regulator highlighted "notable outcomes" such as the appeal ...

Court dismisses case against Trio director after APRA EU

LAURA MILLAN  |  THURSDAY, 31 OCT 2013
... wrongdoing" during his time in Trio. Millhouse joins the 13 other former Trio directors that have provided enforceable undertakings to APRA and are banned from operating in the superannuation industry for a limited period of time.

ASIC acted only when claims hit "tsunami level"

LAURA MILLAN  |  MONDAY, 21 OCT 2013
... "committed and hard-working," but "there seemed to be some blockage at the top." She added that "negotiating enforceable undertakings rather than taking people or companies to court was a preferred course of action when complaints reached a crescendo." ...

ASIC accepts EU from two advice firms

LAURA MILLAN  |  TUESDAY, 24 SEP 2013
The Australian Securities and Investments Commission (ASIC) has accepted enforceable undertakings from two financial planning firms. Melbourne adviser James Thomas Banfield has entered into an enforceable undertaking with ASIC that prevents him from ...

APRA takes Trio director to Court

LAURA MILLAN  |  TUESDAY, 13 AUG 2013
... the best interests of members," APRA said. A total of 11 former Trio directors have already provided enforceable undertakings to APRA, which effectively remove these individuals from operating in the superannuation industry for a specified period of ...

APRA accepts enforceable undertakings from five former Trio directors

ALICE URIBE  |  THURSDAY, 4 JUL 2013
The Australian Prudential Regulation Authority (APRA) has accepted enforceable undertakings from former Trio Capital Limited (Trio) directors Cameron Anderson, Michael Anderson, Terrence Hallinan, Lorenzo Macolino and John Harte. Trio was formerly the ...

AQUA II poses a challenge to wraps

JAMES FERNYHOUGH  |  MONDAY, 17 JUN 2013
... Although Hesketh said fund managers would like to see restrictions lifted on more complex managed funds - including Undertakings for Collective Investment in Transferable Securities (UCITS) - he said, "This is a big step forward from wet signature regulations." ...

Co-operation key to avoiding pain from ASIC

MARK SMITH  |  THURSDAY, 21 FEB 2013
... prepare for a legal battle, according to a law firm specialising in the area. A seemingly endless stream of enforced undertakings, cancelled licenses and investigation from the regulator has raised questions about the best way to respond to scrutiny. ...