Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 901 - 910 of 4098 results for "Conduct"

Mine unions pressure funds over Rio

ELIZABETH MCARTHUR  |  FRIDAY, 11 FEB 2022
Mining unions are applying pressure to super funds over alleged bullying and harassment at Rio Tinto revealed in a recent report. The Western Mine Workers' Alliance (WMWA), an agreement between the Australian Workers' Union (AWU) and the Mining and ...

PE Capital in liquidation

KARREN VERGARA  |  THURSDAY, 10 FEB 2022
... Federal Court found that it operated managed investment schemes without an AFSL and engaged in misleading and deceptive conduct. The court found that over $16 million was invested in the registered and unregistered managed investment schemes, believing ...

Foundation rolls out financial literacy program for students

CHLOE WALKER  |  THURSDAY, 10 FEB 2022
Ecstra Foundation has launched a financial education program for schools, to help Australian students learn key money lessons early on. Ecstra's 'Talk Money' program is available for students from years five to 10, offering classroom workshops delivered ...

RI Advice slapped with $6m penalty

KARREN VERGARA  |  FRIDAY, 4 FEB 2022
... avoiding internal advice quality checks or were recommending non-approved financial products. Although RI Advice's conduct was not deliberate and had compensated Doyle's clients, Moshinsky said its breaches of the law were serious and sustained ...

Westpac shuffles executives

ELIZABETH MCARTHUR  |  THURSDAY, 3 FEB 2022
... responsible for strategy and policies. The roles of chief risk officer, group executive - financial crime, compliance and conduct will be combined. This move has seen chief risk officer David Stephen decide to leave Westpac along with Les Vance who held ...

Online meetings to dominate in 2022

KARREN VERGARA  |  WEDNESDAY, 2 FEB 2022
... by US fintech Broadridge Financial Solutions and the Financial Services Institute, reveals that 51% of advisers still conduct formal client meetings either via phone or video conferencing. Should the technology improve, most advisers believe that the ...

Financial services vulnerable to insider cybersecurity threats

ELIZABETH MCARTHUR  |  TUESDAY, 25 JAN 2022
A new study on the prevalence of insider cybersecurity threats, commissioned by Proofpoint to the Ponemon Institute, has revealed just how much insider attacks are costing financial services firms. The international study found that insider threats ...

Mayfair 101 files new appeal

ELIZABETH MCARTHUR  |  TUESDAY, 25 JAN 2022
... Mayfair's appeal claims the court made a mistake in reaching its decision that Mayfair had engaged in misleading or deceptive conduct. It claims the court's findings were in error on all four grounds alleged by ASIC, and that the matter should be dismissed ...

Former Spaceship chief executive banned

JAMIE WILLIAMSON  |  FRIDAY, 21 JAN 2022
... qualification by having a subordinate employee - a compliance officer - complete his assessments without his involvement. The conduct is said to have occurred around October 2018 and constitutes Bennetts having used Spaceship's resources for his ...

JANA hires legal expert from industry fund

KARREN VERGARA  |  WEDNESDAY, 19 JAN 2022
Investment consulting firm JANA appointed a legal expert to lead its risk and compliance division. Lindy Hunt was hired as head of legal, risk and compliance last December, joining from Club Plus Super where she spent the last seven years of her career. ...