The FCA has set out good practice and areas for improvement to help principal firms effectively monitor their Appointed Representatives (ARs). The findings follow a review of how principals are meeting its enhanced AR rules, introduced in December 2022. The analysis involved a telephone survey with 251 principals and in-depth assessments of documentation from 23 …
Oversight of ARs improving but more to do, says FCA Read More »
On 27 August 2024, the Federal Court made orders appointing Jason Tracy and Lucica Palaghia of Deloitte as receivers and managers of the property of Keystone Asset Management Ltd (Keystone), the responsible entity for the Shield Master Fund (Shield). The receivers are required to: secure the property held by Keystone in its capacity as responsible …
Court appoints receivers and new voluntary administrators to Keystone Read More »
ASIC today released the exam results from the 26th Financial Advisers Exam cycle, held in August 2024. The exam, conducted by the Australian Council for Educational Research (ACER) since inception, follows a rigorous process to ensure all candidates in each cycle are tested to the same standards. In the August exam cycle: 231 people sat …
ASIC releases August 2024 financial adviser exam results Read More »
Former Melbourne financial planner Bradley Grimm has been convicted by the County Court of Victoria of three counts of engaging in dishonest conduct while running a financial services business. Mr Grimm was sentenced to 18 months’ imprisonment, with nine months to serve, and to be of good behaviour for a period of 18 months upon …
Former Melbourne financial planner Bradley Grimm sentenced to jail for dishonest conduct Read More »
ASIC has today released its updated regulatory guidance for external administrators and controllers when reporting and lodging statutory reports about alleged misconduct. The updates to Regulatory Guide 16 External administrators and controllers: Reporting of possible offences and misconduct (RG 16) follow an extensive consultation process that included targeted industry roundtables to seek input into our …
ASIC updates misconduct reporting guidance for external administrators and controllers Read More »
Name: KUREEX Address: Montfitchet Road, London, UNITED KINGDOM, E20 1EJ Telephone: +447586256411 Email: [email protected], [email protected] Website: www.kureex.com Some firms may give incorrect contact details including postal addresses, telephone numbers and email addresses. They may change these contact details over time. They may also give you details that belong to another business or individual, so the …
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