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Showing 11 - 20 of 1302 results for "Australian Securities and Investments Commission"

ASIC warns it can't take action on every case of misconduct

ELIZA BAVIN  |  THURSDAY, 21 MAR 2024
Australian Securities and Investments Commission (ASIC) commissioner Alan Kirkland has admitted the regulator can't fight every battle of misconduct, but that doesn't mean it's not watching. Speaking at the Blockchain APAC Policy Week event, Kirkland ...

ASIC bans Queensland financial adviser

ELIZA BAVIN  |  WEDNESDAY, 20 MAR 2024
The Australian Securities and Investments Commission (ASIC) has permanently banned Queensland-based financial adviser Shane Rose. Rose has been banned from providing any financial services, performing any function involved in the carrying on of a financial ...

Former adviser misled ASIC during investigation: Court

KARREN VERGARA  |  MONDAY, 18 DEC 2023
... information during a compulsory examination, hence breaching section 64(1) of the Australian Securities and Investments Commission Act 2001 (Cth). ASIC referred the matter to the Commonwealth Director of Public Prosecutions. If found guilty, he could ...

Fears grow around greenwashing litigation protections

ROSE MARY PETRASS  |  WEDNESDAY, 8 NOV 2023
... disclosures to limit any potential liability, creating confusion in the market." The Australian Securities and Investments Commission (ASIC) "will play an important role in this transitional period, to ensure best practice reporting, and that all efforts ...

ASIC capability review released

CASSANDRA BALDINI  |  FRIDAY, 26 AUG 2022
... performance. The FRAA released its report, Effectiveness and Capability Review of the Australian Securities and Investments Commission (ASIC), and assessed the regulator's effectiveness and capability across strategic prioritisation, planning and ...

APRA, ASIC provide annual update

CHLOE WALKER  |  THURSDAY, 16 DEC 2021
The Australian Prudential Regulation Authority (APRA) and the Australian Securities and Investments Commission (ASIC) have released their annual engagement update for 2021. Reinforcing Australia's twin peaks model of regulation, the agencies said they ...

End of the road for Dollarmites

KARREN VERGARA  |  MONDAY, 25 OCT 2021
... banking program nationally. "We are disappointed with the position taken by the Australian Securities and Investments Commission (ASIC) and subsequent decisions by some state and territory governments to take that choice away from individual schools ...

ME Bank faces criminal charges

ELIZABETH MCARTHUR  |  WEDNESDAY, 15 SEP 2021
... in relation to proceedings against ME Bank for alleged contraventions of the Australian Securities and Investments Commission Act 2001 (Cth) and National Credit Code. The alleged contraventions concern home loan customer communications over a two year ...

Every super fund should cover every occupation: FSC

KANIKA SOOD  |  FRIDAY, 13 AUG 2021
... regulators, including the Australian Competition and Consumer Commission (ACCC), Australian Securities and Investments Commission (ASIC) and the Australian Prudential Regulation Authority (APRA). The FSC will seek feedback from regulators on their expectations ...

Government to create ASIC, APRA regulator

ANNABELLE DICKSON  |  THURSDAY, 24 JUN 2021
... establishment of an independent body charged with reviewing the effectiveness of both the Australian Securities and Investments Commission (ASIC) and the Australian Prudential Regulation Authority (APRA). Under the Financial Regulator Assessment Authority ...