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Showing 811 - 820 of 10109 results for "Financial services"

Sanlam Private Wealth breaches licensee obligations, hit with enforceable undertaking

MATTHEW WAI  |  MONDAY, 6 JAN 2025
... one point, Sanlam had 42 CARs and 71 authorised representatives operating under its licence, offering diverse financial services ranging from traditional share trading to emerging fintech services. Under the investigation, ASIC found several issues ...

Court sentences Ponzi scheme promoter

KARREN VERGARA  |  MONDAY, 23 DEC 2024
... correction order after pleading guilty to two charges. In March, Sipina pled guilty to carrying on an unlicensed financial services business between 24 June 2015 and 21 April 2017. During that time, he marketed the business and brought in new investors. ...

Court finds CFD issuers engaged in 'unconscionable conduct'

ELIZA BAVIN  |  MONDAY, 23 DEC 2024
... ASIC said. In an Australian first, the court also found that USG breached its obligation to ensure that the financial services covered by its Australian financial services licence (AFSL) were provided "efficiently, honestly and fairly", where it offered ...

New tool will streamline regulation: Chalmers

ELIZA BAVIN  |  FRIDAY, 20 DEC 2024
... do business in Australia and that's what our new Regulatory Initiatives Grid (RIG) will help achieve in the financial services sector," Chalmers said. "It complements our other efforts to better target regulation across the economy, including through ...

Rest nabs culture leader from Aware

ELIZABETH FRY  |  THURSDAY, 19 DEC 2024
... years' experience leading people initiatives in several sectors, including engineering, agribusiness, and financial services. Most recently, she served as chief people officer at life insurer NobleOak. Before that, she was the chapter lead of people ...

Analyst Moves: Franklin Templeton, JANA, Bain, MLC

ELIZABETH FRY  |  THURSDAY, 19 DEC 2024
... manager at Pictet Asset Management and vice president at Citigroup Asset Management. She has worked in the financial services industry since 2000. As for promotions, JANA Investment Advisors has elevated Rashvin Singh Sandhu to senior investment analyst. ...

HMC Capital unit beefs up Melbourne office

ELIZABETH FRY  |  THURSDAY, 19 DEC 2024
... Also landing as a relationship manager, CK Chang is a property specialist with nine years of experience in financial services, mostly at the CBA. He joins the borrower services team where he will focus on building strong relationships and delivering ...

Tribeca builds distribution team

ELIZABETH FRY  |  THURSDAY, 19 DEC 2024
... relationships and channels. The former Australian Ethical distribution lead has spent over 20 years in the financial services sector. Dam joins Tribeca from Australian Ethical Investment where she spent seven-and-a-half-years in several intermediary ...

ASIC sues Binance over customer protection failures

ELIZA BAVIN  |  THURSDAY, 19 DEC 2024
... in this case, crypto derivative products - have important rights and consumer protections under Australian financial services laws. These include the requirement to be provided with a product disclosure statement and access to a compliant dispute resolution ...

TCorp returns 7%, AUM hits $110bn

KARREN VERGARA  |  WEDNESDAY, 18 DEC 2024
... fiscal repair and economic growth and upgrading our financial markets platform," Deverall said. "Being the financial services partner to the NSW public sector is an enormous privilege and we look forward to working with the NSW government, NSW treasury ...