Search Results | Showing 71 - 80 of 1147 results for "Representatives" |
| | | ... information of its financial advisers and clients. In the NSW Supreme Court, ASIC alleges Fortnum exposed its authorised representatives (ARs) and clients to an "unacceptable level of risk of a cyber-attack or a cybersecurity incident". Fortnum introduced ... |
| | | | ... which is under Interprac Financial Planning, between July 2023 and January 2024. ASIC said it was aware authorised representatives from Interprac Financial and Next Generation Advice recommended clients move their money to Shield. McQueen's ban took ... |
| | | | ... for three years for failing to recognise the seriousness of fees for no service conduct, committed by one of its representatives at Lighthouse Partners. Kiriley Roper was recently banned for 10 years by ASIC for charging fees for no service to the tune ... |
| | | | ... and build and advance consensus around them." Those invited include Productivity Commission chair Danielle Wood, representatives from the Australian Council of Trade Unions, Business Council of Australia chief executive Bran Black, Australian Chamber ... |
| | | | ... monthly or quarterly basis. In other matters, the organisations said they support the proposed changes to force paid representatives to use approved AFCA processes and for AFCA to refuse to deal with a third party where they are not a member of AFCA ... |
| | | | ... entities associated with him in connection with its investigations concerning the two funds. Certain authorised representatives of FSGA provided personal financial product advice to consumers who invested in the Shield Master Fund and the First Guardian ... |
| | | | ... IFIA, we intend to strengthen our engagement and relationships with our stakeholders, including consumers, their representatives, policymakers and regulators, to ensure we deeply understand their views." "The Islamic Finance and Investments Association ... |
| | | | ... true to label responsible funds, with over 350 products now certified," Hegarty said. "We are now bolstered by representatives from all aspects of the investment market. Asset managers, research and data providers, banks, insurers, and of course asset ... |
| | | | ... has told Kalkine it must appoint an independent compliance consultant to address concerns its customer service representatives have been giving unlicensed advice. Kalkine is an equity research house which produces stock analysis and buy, hold and sell ... |
| | | | ... uncomplying financial firms; require the use of approved communication channels; cease interactions with paid representatives who are not AFCA members; and the removal of AFCA's legacy Rules section, where the legacy jurisdiction has already closed at ... |
|