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Showing 851 - 860 of 5508 results for "September 18"

Consultation opens for approved courses

KARREN VERGARA  |  TUESDAY, 20 JUL 2021
The Financial Adviser Standards and Ethics Authority is taking feedback on new degrees and courses that should be recognised as prior learning. The consultation period, which opened on July 19 ends on July 30, is seeking to approve a number of several ...

First Sentier appoints head of people, culture

ELIZABETH MCARTHUR  |  TUESDAY, 20 JUL 2021
First Sentier appointed a chief people and culture officer, reporting to chief executive Mark Steinberg. Melanie Halsey steps into the position, based in London. Halsey joins First Sentier on September 6. She was most recently executive vice president ...

DWS Group hires client coverage head

ANNABELLE DICKSON  |  FRIDAY, 16 JUL 2021
DWS Group has appointed a head of client coverage for APAC to lead all coverage and provide investment solutions to institutional and wholesale clients. Vanessa Wang will commence the role on September 1 and will be based in Hong Kong. Wang will report ...

Dixon Advisory to pay $8.2m to settle ASIC action

KANIKA SOOD  |  FRIDAY, 9 JUL 2021
ASIC will drop its September 4 Federal Court case against Evans & Dixon's financial advice arm for $8.2 million and declaration of 53 contraventions. Dixon Advisory and Superannuation Services (DASS) will pay $7.2 million in penalty and $1 million ...

FASEA scraps three-month rule

KARREN VERGARA  |  FRIDAY, 9 JUL 2021
The Financial Adviser Standards and Ethics Authority is introducing a relief that will allow financial advisers to sit the November examination regardless of their last sitting. FASEA is proposing to relax the three-month registration requirement in ...

Cbus hires from APRA

JAMIE WILLIAMSON  |  WEDNESDAY, 7 JUL 2021
The head of investment risk at APRA is taking on a newly created role at the $63 billion industry fund. Mark Ferguson joined Cbus this week as its head of total portfolio management; a new role in support of the fund's efforts to internalise investments. ...

ACSA chief executive steps down

ANNABELLE DICKSON  |  WEDNESDAY, 7 JUL 2021
The Australian Custodial Services Association (ACSA) has announced its chief executive is departing to pursue private business interests. Robert J Brown has held the role since 2017 and is also the managing director of Alford Brown & Associates. ACSA ...

Robinhood hit with record-breaking fine

KARREN VERGARA  |  THURSDAY, 1 JUL 2021
Trading platform Robinhood has been slapped with a US$70 million fine, deemed to be the largest financial penalty handed down by the Financial Industry Regulatory Authority (FINRA). FINRA, which regulates brokerages and exchanges, said millions of Robinhood ...

UK pension funds pushed to merge

JAMIE WILLIAMSON  |  MONDAY, 28 JUN 2021
The UK pension sector is experiencing similar pressure to that being felt by Australia's super funds, with the pensions regulator asking defined contribution (DC) funds with less than £5 billion in assets being urged to merge. In September last ...

ASIC removes Societe Generale restrictions

ANNABELLE DICKSON  |  FRIDAY, 25 JUN 2021
The corporate regulator has removed AFS licence conditions imposed on the French bank after it breached client money obligations. As per the licence conditions, Societe Generale appointed an independent expert to assess and test the adequacy and effectiveness ...