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Showing 61 - 70 of 123 results for "Undertakings"

Funding for the government's adviser register unclear

LAURA MILLAN  |  FRIDAY, 24 OCT 2014
... to be included will be the product areas that an adviser can advise on; any bans, disqualifications or enforceable undertakings and details around ownership of the AFSL and disclosure of the ultimate parent company. When asked about the funding model ...

ASIC to renew focus on misleading advertising

LAURA MILLAN  |  THURSDAY, 31 JUL 2014
... figure includes criminal, civil and administrative actions, as well as negotiated outcomes, including enforceable undertakings. "Advertising is often a consumer's first contact with a financial product or financial services business, and plays a significant ...

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 ...