|Search Results||Showing 1 - 10 of 23 results for "Mark Steward"|
|... and 21% more likely to take up an offer to access their pension pot early. FCA executive director of enforcement Mark Steward said: "We know many people have big plans for their retirement, whether it's seeing new places, learning new skills or helping ...|
|... don't want to know" and no further enquiries were made. FCA executive director of enforcement and market oversight Mark Steward said: "The market performs important public functions and is not a private game of self-enrichment. "While these trades did ...|
|... September 2017 to existing Prudential pension holders. FCA's executive director of enforcement and market oversight Mark Steward said: "These are very serious breaches that caused harm to those customers. Prudential is now rightly focused on redress ...|
|... Phoenix Group, is due to complete by the end of 2019. FCA executive director of enforcement and market oversight Mark Steward said SLA's controls needed to place fairness to customers at their heart. "Here, the financial incentives available to staff ...|
|... financial services firms must be authorised by the FCA. FCA executive director of enforcement and market oversight, Mark Steward, said it was important for citizens to always do their own research. "We're warning the public to be suspicious of adverts ...|
|... to the FCA were accurate and complete," the FCA said. FCA executive director of enforcement and market oversight Mark Steward said Goldman had failed to manage and test controls vitally important to the integrity of the UK's markets. "These were serious ...|
|... it would have forked out £39.4 million ($72.7m). FCA executive director of enforcement and market oversight Mark Steward said firms must have proper systems and controls to identify what transactions they have carried out; in which markets; at ...|
|... lifetime ban will be applied in appropriate cases in order to protect the public," says ASIC's director of enforcement Mark Steward. ASIC found Michel Hendricus Ruurda falsified client records while employed as a proper authority holder and dishonestly ...|
|... settle loans from other clients rather than for investment purposes. ASIC deputy executive director of enforcement Mark Steward says, "Advisers must not advise or encourage clients to make investments outside the limits or terms of the authority given ...|
|... cover taken out. Mr Burton-Clay's fraudulent activities allowed him to receive $530,920 of his clients' monies. Mark Steward deputy director of enforcement for ASIC said Mr Burton-Clay had deliberately engaged in deceptive conduct caused people significant ...|
AustralianSuper will introduce a new fee for MySuper members from April 2020 to offset the impact of the Protecting Your Super changes.
The alternatives assets data juggernaut is opening an office in Sydney, as it looks to expand its local client base and build its research coverage.
New Industry Super Australia research claims to show plans to make superannuation optional for low-income workers is nothing more than a tax grab.
A Brisbane boutique is winding up an Aussie equities fund, after an investor decided to redeem their money, representing roughly 60% of the fund's assets, just before Christmas.
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