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Showing 1 - 10 of 9014 results for "financial services"

Adviser numbers plateau

JAMIE WILLIAMSON  |  THURSDAY, 18 APR 2024
... AFS banned/disqualification, enforceable undertaking, disqualified person, credit banned/disqualification, Financial Services Credit Panel (FSCP) action, and SMSF auditor disqualification. The advice sector continues to consolidate. AZ NGA-backed advice ...

Adam Blumenthal ordered to pay $850k

ELIZA BAVIN  |  THURSDAY, 18 APR 2024
... by failing to comply with its compliance policies and causing it to breach its obligations as an Australian financial services (AFS) licensee which jeopardised its interests. Blumenthal also breached his duties as a director of Creso by paying Tyson ...

The Aussie wealthtech firms that are 'most innovative'

ANDREW MCKEAN  |  TUESDAY, 16 APR 2024
... product, which offers online tools and calculators to credit unions, banks, lending institutions, and other financial services organisations. GBST also renewed a five-year contract with an Australian Tier 1 financial services organisation for its wealth ...

Vale Wayne McGauley

ELIZA BAVIN  |  TUESDAY, 16 APR 2024
The financial services industry has paid tribute to Wayne McGauley who passed away over the weekend. Most recently the head of distribution at Wheelhouse Partners, McGauley had a long and successful career in the financial services industry spanning ...

ASIC chief executive to depart

ELIZA BAVIN  |  TUESDAY, 16 APR 2024
... retiring at the end of July 2024. Mullaly has held executive roles at ASIC for the last 12 years, leading the financial services enforcement team for 11 years and, for the last year, enforcement, and compliance team. "Tim has for many years played a ...

Blockchain mining companies sued by ASIC

ANDREW MCKEAN  |  MONDAY, 15 APR 2024
... proceedings against the NGS companies, alleging a contravention of sections 911A of the Corporations Act by providing financial services without an Australian Financial Services Licence (AFSL). ASIC is also seeking interim and final injunctions against ...

Citi Australia managing director takes on expanded remit

ANDREW MCKEAN  |  FRIDAY, 12 APR 2024
... partners such as super funds, asset managers, insurers, and wealth platforms. She has over 25 years' experience in financial services, spanning banking and asset management. In 2022, Ashton returned to Citi, where she'd previously served as director ...

ASIC challenges court ruling in Finder Wallet crypto case

ANDREW MCKEAN  |  THURSDAY, 11 APR 2024
... its proceedings against Finder Wallet. The corporate watchdog claimed that Finder Wallet provided unlicensed financial services, breached product disclosure requirements, and failed to comply with design and distribution obligation for its now defunct ...

'Licensee for hire' fined $1.25m by court

JAMIE WILLIAMSON  |  THURSDAY, 11 APR 2024
... by its licence; ensure that its representatives were adequately trained; maintain the competence to provide financial services covered by its AFS licence; take responsible steps to ensure representatives complied with the law; and do all things necessary ...

DWS appoints new local chief executive

ELIZA BAVIN  |  THURSDAY, 11 APR 2024
... real assets business in APAC as head of real estate securities, APAC. Tomova has 20 years of experience in financial services having worked with DWS since 2018. Prior to that she worked with Deutsche since 2005 both in Australia and the UK. DWS said ...
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