Ethics & Governance Articles

Showing 1 to 10 of 55 articles:
Yolanda Beattie
YOLANDA BEATTIE  |  THURSDAY, 20 JAN 2022
In 2016 when Lady Quentin Bryce walked into the Fund Manager of the Year awards, she turned to a leading female portfolio manager and asked, "where are all the women?". Read more
Barnaby Wiener
BARNABY WIENER , VISHAL HINDOCHA  |  FRIDAY, 10 DEC 2021
Sustainability in focus Read more
Gabriela Pirana
GABRIELA PIRANA  |  THURSDAY, 16 SEP 2021
After a long wait following Treasury's initial proposal paper issued in January 2020, the Financial Accountability Regime (FAR) draft legislation has arrived, and there are a few key items that require consideration by superannuation trustees. Read more
Suzy Yoon
SUZY YOON  |  FRIDAY, 10 SEP 2021
This paper looks at the impact of modern slavery risks in investment management, what the industry can do to combat it and the approach JANA takes to ensure their investment managers are considering the risks within client portfolios. Read more
Neil Maines
NEIL MAINES  |  FRIDAY, 6 AUG 2021
The importance of superannuation to society means superannuation funds are rightly assessed against rigorous investment objectives. Focus has traditionally been on investment returns versus a CPI-based target and versus peer products with similar exposures ... Read more
Richard Batten
RICHARD BATTEN , PRAYAS PRADHAN  |  FRIDAY, 13 NOV 2020
The Australian Securities and Investments Commission (ASIC) made a product intervention order on 22 October 2020 that imposes conditions on the issue and distribution of contracts for difference (CFDs) to retail clients. This paper summarises the key ... Read more
Andrew Howard
ANDREW HOWARD , ADAM SIMMS  |  FRIDAY, 30 OCT 2020
The conditions around the COVID-19 pandemic-economic uncertainty and lack of internal controls in a new digital workplace-have created the perfect ecosystem for financial crime. Leaders who fail to take the right precautions and preventions now could ... Read more
Crispian Lynch
CRISPIAN LYNCH , VINCENT GIANG , JACOB SAULWICK  |  WEDNESDAY, 21 OCT 2020
The Federal Court's decision in the Australian Securities and Investments Commission's (ASIC's) fee-for-no-service proceedings against certain licensees within the NAB Group highlights the principles to which a court will have regard in ... Read more
Richard Batten
RICHARD BATTEN  |  FRIDAY, 10 JUL 2020
Regulatory Guide 272 Product Intervention Power (RG 272) sets out the score of the product intervention power, and explains how the Australian Securities and Investments Commission (ASIC) will use it, and how an intervention order will be made. Read more
Ally Crowther
ALLY CROWTHER  |  FRIDAY, 3 JUL 2020
Allens said at the outset of this pandemic that financial advice will play an important role in supporting members who are considering whether to access their superannuation early. Read more
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