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Showing 1 - 10 of 4153 results for "Conduct"

ASIC sues another former Venture Egg adviser

VINNY VUCAGO  |  WEDNESDAY, 7 OCT 2026
... Group Australia, which recommended investments in Shield, Fist Guardian or both. ASIC chair Sarah Court said the alleged conduct struct at protections intended to ensure advice is not influenced by financial incentives. "Conflicted remuneration laws ...

ASIC appoints receivers to Star Investment Group

VINNY VUCAGO  |  WEDNESDAY, 7 OCT 2026
... examines matters including fundraising, financial records, directors' duties and potential misleading or deceptive conduct. The regulator's action relates to funds raised through investments in Star Investment and the Lake Narracan development ...

AFCA raises concerns over advice sector in systemic issues report

RIDDHIMA TALWANI  |  TUESDAY, 6 OCT 2026
... investment and advice firms identified concerns on the appropriateness and implementation of advice, authorised representative conduct, client authority and the effectiveness of licensee supervision. "During the reporting period, matters considered by ...

CALI outlines Life Code changes

ELIZA BAVIN  |  THURSDAY, 1 OCT 2026
... have will take into account more customer perspectives. It's also a recommendation of the reviewer himself that we conduct a further process around some of his recommendations. "So that'll be a very important piece of work, and we'll do that ...

Former Big Un chief escapes prison time for insider trading

MATTHEW WAI  |  MONDAY, 28 SEP 2026
... 2018. Auditors for Big Un Graham Rothesay Swan and Jakin Leong Loke were also disciplined and suspended for failing to conduct audits of Big Un in compliance with auditing standards. Communicating inside information is an offence under section 1043A(2) ...

Sequoia plots potential restructure

MATTHEW WAI  |  FRIDAY, 18 SEP 2026
Sequoia Financial Group, the parent company of InterPrac Financial Planning, is conducting a thorough review of all its operating subsidiaries for a potential restructuring. The ASX-listed firm said the review will provide insight if a restructuring ...

Australian life insurers lag global peers: Capgemini

MATTHEW WAI  |  MONDAY, 14 SEP 2026
A new survey from Capgemini found that Australian life insurers are stowed behind the global average when it comes to member engagement and educational efforts. According to Capgemini's The World Life Insurance Report 2027, which is based on a global ...

Former adviser charged further on dishonest conduct

RIDDHIMA TALWANI  |  MONDAY, 14 SEP 2026
... filed on August 28 showed Cuthbertson being charged with making false and misleading statements and engaging is dishonest conduct. The charges relate to 10 offences contrary to section 1041E of the Corporations Act, 12 offences contrary to section 1041G ...

Tribunal affirms InterPrac, FSGA adviser bans

MATTHEW WAI  |  FRIDAY, 11 SEP 2026
The Administrative Review Tribunal has affirmed ASIC's decisions to ban two former financial advisers from InterPrac Financial Planning and Financial Services Group Australia (FSGA) who were involved in the Shield and First Guardian master funds ...

Trust emerges as key drivers of super fund loyalty

VINNY VUCAGO  |  FRIDAY, 11 SEP 2026
Superannuation fund members are becoming more purposeful in their interactions with funds, while trust has emerged as the clearest driver of loyalty and advocacy, according to new CoreData research. The research found general enquiries have fallen from ...
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