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Showing 1 - 10 of 100+ results for "Regulatory"

Crescent Group appoints head of risk

CHLOE WALKER  |  MONDAY, 24 JAN 2022
... propositions built on best-in-class infrastructure. "Robust risk and governance frameworks are critical in today's changing regulatory and legislative environment, and I look forward to working with Brendan and contributing to the success of the group," ...

ASIC reviews ETP naming conventions

KARREN VERGARA  |  FRIDAY, 21 JAN 2022
ASIC is proposing to overhaul the naming conventions of exchange-traded products so that the names are "true to label". The corporate regulator argued that ETPs have different structures, features, strategies, and risks compared to listed investment ...

New board director for Morrison & Co

CHLOE WALKER  |  THURSDAY, 20 JAN 2022
... Mingay as a non-executive director, effective immediately. Mingay brings three decades of extensive commercial and regulatory experience, having worked across the private and public infrastructure sectors. She currently holds advisory roles with Ofgem ...

Insto investors tempted by crypto

JAMIE WILLIAMSON  |  WEDNESDAY, 19 JAN 2022
... invested in cryptocurrencies because of concerns over asset security. Other reasons cited were price volatility and the regulatory environment, while 12% also highlighted the carbon footprint of Bitcoin and other currencies. In the US, the Securities ...

E&P pulls the plug on DASS

KARREN VERGARA  |  WEDNESDAY, 19 JAN 2022
Amid a slew of class actions and regulatory problems, the troubled superannuation subsidiary of E&P Financial Group is now in voluntary administration. PwC has been called in as voluntary administrators of Dixon Advisory and Superannuation Services ...

Federal Court imposes $4m penalty on industry fund

CHLOE WALKER  |  TUESDAY, 18 JAN 2022
The Federal Court has imposed combined penalties of $4 million on Statewide Super for providing members with misleading information regarding their insurance and failing to report the issue to ASIC in the time required. Between 2017 and 2020, Statewide ...

New head of retail funds management at Cromwell

ELIZABETH MCARTHUR  |  TUESDAY, 18 JAN 2022
... retail funds management position. Peta Tilse joins the company with 25 years of experience. Tilse is the founder of a regulatory technology company Sophisticated Access and director of boutique wealth manager Levantine Wealth. She also founded The Impact ...

Trading platform cops $110k fine

KARREN VERGARA  |  TUESDAY, 18 JAN 2022
A trading platform has copped a fine of $110,250 for breaching enquiry rules and compliance obligations. BGC Partners breached the ASX 24's trading rules on two occasions on 22 March 2019, according to the Markets Disciplinary Panel, by transacting ...

CFP Board welcomes new chair

KARREN VERGARA  |  FRIDAY, 14 JAN 2022
... across the US. It recently imposed 20 sanctions against current or former CFP professionals. This misconducts included regulatory actions, firm terminations, customer complaints, arbitrations, and civil court litigation that involve professional conduct ...

Aware Super leads on climate action: IGCC

KARREN VERGARA  |  THURSDAY, 13 JAN 2022
... incorporates portfolio-wide short, medium and long-term targets, advocates for a just transition, stronger policy and regulatory support, and outlines an effective long-term engagement program to reach net zero by 2050 and aligning to a 1.5 degree scenario ...
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