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| | ASIC has issued its final reminder to the 757 financial advisers who have yet to register with the corporate regulator. As of February 6, ASIC counted many relevant providers who have outstanding registrations. They have until February 16 to get cracking ... |
| | | ... the Shield Master Fund due to concerns about misleading statements and inadequate disclosures in the fund's documentation. ASIC issued interim stop orders against Keystone Asset Management, saying it cannot offer, issue, sell or transfer interests in ... |
| | | ... financial products. The action is being funded by Woodsford, which is also backing a similar class action against IG Markets. "ASIC has looked at these financial products and has recognised the harm they can cause retail investors," Woodsford chief investment ... |
| | | ... Federal Court has ordered Brite Advisors (Brite) to be wound up on just and equitable grounds following an application by ASIC. At a hearing yesterday, the Court appointed Linda Smith and Robert Kirman of McGrath Nicol as liquidators to Brite and as ... |
| | | ... funds (SMSF) have been charged by the Melbourne Magistrates Court with a string of criminal offences. The charges follow an ASIC investigation into the activities of Joseph Cullia and Zoran Markovic, which alleged that they operated fraudulent investment ... |
| | | ... imprisonment for running a financial services business without a licence. The charges were filed after an investigation by ASIC, which discovered that Aryn Hala had made promises to customers of annual returns of at least 10-20% on investments that included ... |
| | | After being rebuked by ASIC for operating without an AFS Licence, iExtend is now running under a Corporate Authorised Representative (CAR) arrangement for the interim. A CAR enables iExtend to act as an agent of an AFS Licensee, meaning it is authorised ... |
| | | ... similar number ambivalent when it comes to feeling their super fund has empowered them for retirement. A corresponding APRA/ASIC audit on implementation of the retirement income covenant underscores the member understanding and data gap that stands in ... |
| | | ASIC deputy chair Sarah Court has reaffirmed that the corporate regulator is targeting member service failures, greenwashing, and inappropriate fees and charges, cautioning the superannuation industry to lift its game. At an industry event, Court said ... |
| | | ... the coming months and will also review RSE licensees' self-assessments in relation to the Retirement Income Covenant and ASIC and APRA's joint report on progress of implementation from July last year. Following that, it will engage with entities to address ... |
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