Australia – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 14 Nov 2019 00:58:41 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Australia – Investment Executive https://www.investmentexecutive.com 32 32 Australian distribution and retail channels take reputational hit https://www.investmentexecutive.com/news/industry-news/australian-distributors-and-retailers-take-reputational-hit/ Wed, 27 Mar 2019 22:16:45 +0000 https://www.investmentexecutive.com/?p=379108 How the country's royal commission on the financial sector has affected firms

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]]> ASIC scolds firms for slow reviews of systemic advice failures https://www.investmentexecutive.com/news/from-the-regulators/asic-scolds-firms-for-slow-reviews-of-systemic-advice-failures/ Tue, 12 Mar 2019 16:05:49 +0000 https://www.investmentexecutive.com/?p=378145 The regulator plans to take action against firms that engaged in misconduct

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]]> New bill will give greater penalty powers to ASIC https://www.investmentexecutive.com/news/from-the-regulators/new-bill-gives-greater-penalty-powers-to-asic/ Fri, 15 Feb 2019 16:00:32 +0000 https://www.investmentexecutive.com/?p=376471 Australian regulator gets enhanced enforcement capabilities

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]]> Australia promises sweeping reform to address rampant industry misconduct https://www.investmentexecutive.com/news/from-the-regulators/australia-promises-sweeping-reform-to-address-rampant-industry-misconduct/ Mon, 04 Feb 2019 17:31:24 +0000 https://www.investmentexecutive.com/?p=375501 Scathing report discusses conflicts of interest, sales-focused compensation schemes and more

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]]> Canaccord completes deal to increase stake in Australia unit https://www.investmentexecutive.com/news/industry-news/canaccord-completes-deal-to-increase-stake-in-australia-unit/ Mon, 13 Aug 2018 15:00:09 +0000 https://www.investmentexecutive.com/?p=354497 The acquisition increases the firm’s ownership stake in Canaccord Genuity (Australia) Ltd. to 80%

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]]> Canaccord Genuity to increase stake in Australia venture https://www.investmentexecutive.com/news/industry-news/canaccord-genuity-to-increase-stake-in-australia-venture/ Thu, 07 Jun 2018 14:45:39 +0000 https://www.investmentexecutive.com/?p=351070 The Australian company operates a mid-market investment bank in the Asia-Pacific region

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]]> Australian regulator reviewing ICOs https://www.investmentexecutive.com/news/from-the-regulators/australian-regulator-reviewing-icos/ Tue, 01 May 2018 18:10:27 +0000 https://www.investmentexecutive.com/?p=349820 Some issuers have halted their ICOs to address the ASIC’s concerns

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]]> Australian banks pay additional compensation to clients https://www.investmentexecutive.com/news/from-the-regulators/australian-banks-pay-additional-compensation-to-clients/ Tue, 20 Feb 2018 20:20:47 +0000 https://www.investmentexecutive.com/?p=346798 More than 3,000 customers have received compensation for losses as a result of non-compliant conduct by advisors

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]]> Australian Financial Complaints Authority aims to improve redress for consumers https://www.investmentexecutive.com/news/from-the-regulators/australian-financial-complaints-authority-aims-to-improve-redress-for-consumers/ Wed, 14 Feb 2018 19:33:20 +0000 https://www.investmentexecutive.com/?p=346475 The new service will feature higher monetary limits and compensation caps

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]]> ASIC broadens fintech co-operation with Canadian regulators https://www.investmentexecutive.com/news/from-the-regulators/asic-broadens-fintech-co-operation-with-canadian-regulators/ Tue, 12 Dec 2017 15:30:00 +0000 https://avatar.investmentexecutive.com/uncategorized/asic-broadens-fintech-co-operation-with-canadian-regulators/ Australia’s regulatory sandbox to remain unchanged

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