Search Results | Showing 111 - 120 of 4788 results for "ASIC" |
| | | ... any entities that carry on a financial services business, and performing any function within a financial services business. ASIC said he is not a fit and proper person to provide financial services. Between May 2017 and June 2022, Pagliaccio was found ... |
| | | | ASIC has prolonged its product intervention orders for short-term and continuing credit contracts in a bid to protect vulnerable retail investors. The orders, which were first implemented in July 2022, will now be extended until 1 October 2032, or until ... |
| | | | ... faith by the Federal Court, in a case connected to OnePath Life's avoidance of an income protection policy. The case marks ASIC's first attempt to impose a civil penalty under s13 of the Insurance Contracts Act 1984 (Cth), a section that mandates insurers ... |
| | | | ... extracting more than $550,000 from the company's accounts to purchase shares in a security company for his personal benefit. ASIC froze the assets of Naseeruddin's companies in 2019, and successfully obtained orders in 2020 to wind them up. "Investors ... |
| | | | ... and its management of around $1 billion in client pension funds, with a mandate to report their findings to the court and ASIC within 42 days. The appointment of Smith and Kirman follows initial action taken by ASIC in October 2023 to obtain interim ... |
| | | | ... A former Shaw and Partners financial adviser was charged with two counts of providing false or misleading information to ASIC during the regulator's investigation into his misconduct. Kristofer Ridgway allegedly provided false information during ... |
| | | | ASIC commenced civil penalty proceedings against Adam Blumenthal, the director of investment bank EverBlu Capital, for alleged market rigging and failing in his duties as a director to manage conflicts of interest. The case will also look at Blumenthal's ... |
| | | | ... underhandedly hiking premiums in a way that is misleading and fails to explain why they are rising, according to APRA and ASIC, warning that they will take regulatory action if practices do not improve. The regulators have reprimanded life insurers for ... |
| | | | ... retirees or were approaching retirement. So, the timing of losing their super through their SMSF was regrettable," he said. ASIC and the Australian Taxation Office jointly regulate the SMSF sector; the ATO has the role of auditing SMSF auditors. Financial ... |
| | | | ASIC has prohibited former AMP Financial Planning (AMPFP) adviser Darron Mink from providing financial services or engaging in credit activities for five years. Mink, who was also the sole director of Newcastle's Pinnacle Financial and Investment ... |
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