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Showing 891 - 900 of 4098 results for "Conduct"

ASIC scrutinises managed fund marketing

ELIZABETH MCARTHUR  |  WEDNESDAY, 23 MAR 2022
... to protecting consumers where misleading marketing practices run counter to their interests. If we identify misleading conduct, we will take prompt action to disrupt behaviours by deploying across our regulatory tools - from administrative intervention ...

Popularity soars for managed accounts

CHLOE WALKER  |  TUESDAY, 22 MAR 2022
More than ever, financial advisers are turning to managed accounts to better take care of client funds, according to SPDR ETFs and Investment Trends most recent report. According to the research, more than half (53%) of financial advisers are now using ...

ASIC issues warning to finfluencers

JAMIE WILLIAMSON  |  MONDAY, 21 MAR 2022
... This is likely to be dealing by arranging." ASIC also warned influencers on the laws regarding misleading or deceptive conduct, including the fact that they don't need to be licensed to breach these provisions. "Any statement you make should be true ...

Permanent ban for former authorised representative

CHLOE WALKER  |  FRIDAY, 18 MAR 2022
... authorisation. Halligan then sold the shares to the benefit of Santorini Sun and himself. BR Securities reported Halligan's conduct to ASIC on 26 October 2020 and reimbursed his clients for their losses before subsequently being compensated by Halligan. ...

Advisers can help female clients 'break the bias'

CHLOE WALKER  |  TUESDAY, 8 MAR 2022
While the proportion of women investing is picking up the pace, the number of female investors still lags behind men - but financial advisers can help. At an International Women's Day event today, BT head of risk strategies and research Kirsty Wymer ...

Alpha females

ELIZABETH MCARTHUR  |  TUESDAY, 8 MAR 2022
The integration of environmental, social and governance concerns (ESG) into investment decisions has well and truly gone mainstream - but there is one element of governance that still flies under the radar for many investors. That is, gender diversity ...

NZ Super Fund excludes Russian debt, state-owned holdings

JAMIE WILLIAMSON  |  THURSDAY, 3 MAR 2022
... companies will be monitored on a case-by-case basis "in the event they are linked to the conflict and meet the threshold for conduct that would see them excluded". According to Mindful Money, an ethical investment initiative by Sustainable Initiatives ...

ISPT chief executive steps down

JAMIE WILLIAMSON  |  WEDNESDAY, 23 FEB 2022
After 17 years in the role, Daryl Browning is stepping down as chief executive of Industry Super Property Trust following a review. ISPT announced it is on the hunt for a new chief executive after a review of its corporate strategy determined it was ...

Aware Super advice arm to pay $20m fine

CHLOE WALKER  |  FRIDAY, 18 FEB 2022
... to comply with financial services laws. In handing down his decision, Justice Moshinsky concluded that Aware FS's conduct was serious and systematic. His Honour also highlighted the large number of Aware FS customers affected by this misconduct ...

CDPP dumps ANZ cartel case

KARREN VERGARA  |  MONDAY, 14 FEB 2022
... employees) and Citigroup Global Markets Australia's John McLean, Itay Tuchman and Stephen Roberts. Sims said cartel conduct involves businesses acting together instead of competing fairly with each other, believing that alleged conduct "stood to ...