Search ResultsShowing 1 - 10 of 100+ results for "Company"
Pendal family office lead moves to boutique
KANIKA SOOD  |  FRIDAY, 13 DEC 2019
... its distribution efforts to a channel or segment focus. As a part of this its distribution head Aidan Kelleher left the company. Saunders is not the only one to leave Pendal for Regal in recent months. In October, Rebecca Fesq left as Pendal's head ...
ASIC winds up alleged unregistered scheme
ELIZA BAVIN  |  FRIDAY, 13 DEC 2019
... in the Federal Court in Western Australia to wind up the alleged unregistered managed investment scheme, and a related company, operated by Chris Marco. ASIC also said it is seeking declarations that Marco did not hold an AFSL while running a financial ...
Westpac directors slammed
ALLY SELBY  |  THURSDAY, 12 DEC 2019
... the experiences of others like the CBA and your inability to appreciate changing regulatory flows, you have brought our company into disrepute." Medd slammed the board for their oversight. "All directors are on the Risk Committee. Clearly your collective ...
Pershing Securities breaches client money obligations
ALLY SELBY  |  WEDNESDAY, 11 DEC 2019
... requirements relating to a client money account. Pershing could face a maximum penalty of $135,000. ASIC alleged that the company failed to comply with client money obligations between June 2016 and December 2018. Under the Corporations Act, client money ...
APRA slaps extra conditions on Avanteos
HARRISON WORLEY  |  WEDNESDAY, 11 DEC 2019
... disclose the specific license conditions that it had imposed on Avanteos. However in a statement, Avanteos' parent company CBA revealed the additional license conditions relate to the identification and implementation of "further improvements required ...
Platform appoints TPB director
ELIZABETH MCARTHUR  |  WEDNESDAY, 11 DEC 2019
... Xplore Wealth got a new chief executive this year, former general manager of BT Financial Advice Michael Wright. The company's most recent annual general meeting involved hints at expansion plans and its first quarterly results under the new boss ...
ASIC suspends Melbourne-based AFSL
ELIZA BAVIN  |  WEDNESDAY, 11 DEC 2019
... services provider Australian Golden Securities until May 2020. ASIC said the licence has been suspended over concerns the company is not meeting its obligations as an AFS licensee. The regulator said Australian Golden Securities, formerly AFS Capital ...
Chief economist update: Businesses remain unmoved by low rates
BENJAMIN ONG  |  WEDNESDAY, 11 DEC 2019
... the horse drink. The NAB survey is consistent with the bi-annual survey of 1489 members of the Australian Institute of Company Directors (AICD) - released in late October - which found that around 59% of directors anticipate weak domestic economic conditions ...
Elders FP to shutter
JAMIE WILLIAMSON  |  TUESDAY, 10 DEC 2019
... it was confirmed the IOOF-aligned dealer group was in discussions over its future . As a small-scale advice group, the company said it was difficult to generate the income required to cover increasing compliance costs. "EFP has conducted a review of ...
Frontier veteran joins Perpetual
ALLY SELBY  |  MONDAY, 9 DEC 2019
... her departure from Frontier Advisors, Fiona Trafford-Walker has joined the board of an ASX-listed financial services company. Trafford-Walker has joined the board of Perpetual as a non-executive director. It comes after her departure from institutional ...
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