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Showing 71 - 80 of 4118 results for "Conduct"

Former Big Un chief pleads guilty to insider trading

RIDDHIMA TALWANI  |  FRIDAY, 10 APR 2026
... information. ASIC has also taken action against Big Un's auditor Graham Rothesay Swan, who was convicted for failing to conduct the 2017 audit of the firm in compliance with auditing standards. Former investment analyst Michael Ming Jinn Ho was sentenced ...

Former Venture Egg adviser permanently banned

JAMIE WILLIAMSON  |  THURSDAY, 9 APR 2026
... competence, adequate training and judgement as a financial adviser, and engaged in dishonest, misleading and unprofessional conduct. The regulator said Papapavlou was actively involved in Venture Egg's high volume advice process, in which third party ...

VFMC names head of portfolio strategy

RIDDHIMA TALWANI  |  WEDNESDAY, 8 APR 2026
Victorian Funds Management Corporation (VFMC) has appointed KC Low as its head of portfolio strategy and asset allocation on a permanent basis. KC took over the role for an interim term in July last year following the departure of VFMC's head of ...

Treasury proposes lead generator, super switching reforms

KARREN VERGARA  |  WEDNESDAY, 8 APR 2026
... for receiving super funds to review advice fee deductions. "The collapses of Shield and First Guardian have highlighted conduct where switching advice was provided at scale, facilitated by the availability of superannuation balances as a funding source ...

ASIC disqualifies crypto fund director for five years

MATTHEW WAI  |  THURSDAY, 2 APR 2026
... adequate books and records. Polychain became investment manager of the fund on 12 November 2022. ASIC believes Balanian's conduct was deliberate, allowing these companies to operate without complying with their obligations and was aware that a failure ...

ASX is 'compromised' and 'lacks aspiration': Final report

ELIZA BAVIN  |  THURSDAY, 2 APR 2026
The ASX Inquiry Panel has released a damning final report into the ASX, focusing on governance, capability and risk management frameworks and practices across the group. The panel conducted more than 140 stakeholder interviews, reviewed submissions ...

TPB consults on AI usage rules

KARREN VERGARA  |  TUESDAY, 31 MAR 2026
... services are provided to a competent standard. To comply with the competency requirements in the Code of Professional Conduct and Determination 62/2026, tax practitioners must exercise their own professional judgement when advising clients and should ...

APRA shuffles executive director lineup

ELIZA BAVIN  |  TUESDAY, 31 MAR 2026
The Australian Prudential Regulation Authority (APRA) has appointed two new executive directors to fill recent vacancies. Peter Kohlhagen has been promoted from general manager of superannuation to executive director of policy and advice following the ...

Another former Venture Egg adviser slapped with four-year ban

MATTHEW WAI  |  TUESDAY, 31 MAR 2026
... Advice and Ferras Merhi Pty Ltd (Venture Egg), has been banned for four years over inappropriate advice and deceptive conduct, including impersonating other advisers. ASIC has banned Nicholas Hogan from the financial services industry for four years ...

APRA kicks off Retirement Reporting Framework consultation

KARREN VERGARA  |  TUESDAY, 24 MAR 2026
... 3. By the fourth quarter of 2026, APRA hopes to release the final forms and taxonomy, and one year thereafter it will conduct its first data collection. The reporting framework is one of several government initiatives announced in November 2024 to uplift ...