Page 17 - Danielle Press News Today

<p><span>An ASIC surveillance about personal investment switching by directors and senior executives of superannuation trustees has identified concerns with trustees’ management of conflicts of interest.</span></p>

Former Spectrum Wealth Advisers chief executive Mark Schroeder has been slapped with banning orders in addition to his six-year ban from providing financial services.

The Administrative Appeals Tribunal (Tribunal) has amended ASIC’s decision to ban Mr Mark Schroeder from providing financial services (20:029MR).　 In

The Administrative Appeals Tribunal has broadened the corporate regulator’s decision to ban Spectrum Wealth director, Mark Schroeder, from providing financial services.

ASIC has announced that a dealer group director’s ban has been broadened following an appeal to the Tribunal. In February 2020, former Spectrum Wealth Advisers director Mark Schroeder was banned f

The Administrative Appeals Tribunal (AAT) has broadened ASIC’s ban on a wealth director for his involvement in numerous compliance failures at his former dealer group

ASIC issued a stern warning to employers and their superannuation fund provider about influencing employees choice of super funds.

ASIC has provided new information on what employers can and cannot do when providing guidance to employees about superannuation choices.

ASIC today released updated information for employers and trustees about changes affecting the distribution of superannuation products as a result of

The guidance offers advice on how employers can communicate with employees of fund choice, as well as guidance for trustees about the prohibition on using inducements to influence employers.