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Showing 881 - 890 of 4099 results for "Conduct"

Mawhinney appeals 20-year ban

ELIZABETH MCARTHUR  |  MONDAY, 11 APR 2022
... Investments (trading as Mayfair 101), M101 Nominees Pty Ltd and M101 Holdings Pty Ltd engaged in misleading or deceptive conduct and made false or misleading representations when promoting the M+ and M Core Fixed Income Notes. Mayfair 101 Group products ...

Parliamentary committee hears KPMG assumed 'conflicting engagements knowingly'

ANDREW MCKEAN  |  MONDAY, 11 APR 2022
... has been the subject of serious accounting and safety concerns, but its compounding problems have also raised several conduct issues, one such matter being KPMG's engagements. The committee commented that it was clear that "the KPMG engagements were ...

YFYS changed how funds invest: JPMAM

ELIZABETH MCARTHUR  |  WEDNESDAY, 6 APR 2022
... private markets, manager selection will remain paramount for chief investment officers. JPMAM commissioned NMG Consulting to conduct the research. NMG Consulting partner David Hutchinson said as YFYS regulation is extending to all super products later ...

ASIC takes Federal Court action against Macquarie Bank

ANDREW MCKEAN  |  TUESDAY, 5 APR 2022
... and prevent these unauthorised fee transactions, many of which were over $10,000 each." While Court described Hopkins' conduct as an example of what can go wrong when banks don't properly monitor, detect and prevent unauthorised transactions, she asserted ...

Border rule-breaking former adviser banned

JAMIE WILLIAMSON  |  TUESDAY, 5 APR 2022
... jail by the Perth Magistrates Court. At the time, ASIC confirmed to Financial Standard that it was aware of Babbage's conduct and was considering the issues in relation to his authorisations. The regulator has the power to act against anyone who has ...

Superhero to offer Qantas points

ELIZABETH MCARTHUR  |  MONDAY, 4 APR 2022
... landscape of retail trading markets as part of the International Organization of Securities Commissions Retail Market Conduct Task Force. The Task Force has identified several emerging concerns coinciding with the unprecedented surge in retail trading ...

GAM loses insto mandate

JAMIE WILLIAMSON  |  THURSDAY, 31 MAR 2022
... offering," head of GAM Fund Management Services Sean O'Driscoll said. In a separate matter, the UK's Financial Conduct Authority released details of the $16 million fine it handed GAM in December 2021 for failing to adequately manage conflicts ...

ASIC extends relief for retirement estimates

CHLOE WALKER  |  THURSDAY, 31 MAR 2022
... financial year. ASIC's class order 'Relief for providers of retirement estimates' gave conditional relief from the licensing, conduct and disclosure obligations relating to personal advice in the Corporations Act 2001 that might otherwise apply to a ...

APRA suspends IDII work, "disappointed" in industry

ELIZABETH MCARTHUR  |  FRIDAY, 25 MAR 2022
... understand and manage risks. It also expects insurers to maintain a focus on the sustainability of IDII; consider the conduct-related impacts of the design and distribution obligations, unfair contract terms, claims handling and duty of reasonable care ...

Janus Henderson appoints new chief executive

CHLOE WALKER  |  THURSDAY, 24 MAR 2022
Joining from AllianceBernstein, Ali Dibadj has been named as Janus Henderson's new chief executive, succeeding Dick Weil. Weil is set to retire as chief executive and member of the board at the end of the month. Dibadj is expected to take over as chief ...