Search Results | Showing 1 - 10 of 128 results for "ASIC for" |
| | | Financial advisers, licensees, and superannuation trustees are facing the ire of ASIC after an investigation found they are profiting from boiler room tactics that convince members to switch funds. An overwhelming number of members are goaded into leaving ... |
| | | | ... in particular supporting its organisational transformation since 2021. "Warren has been a significant contributor to ASIC for more than 20 years across virtually every part of ASIC's remit. This is an opportunity for him to bring the skills and experience ... |
| | | | 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 ... |
| | | | ASIC has been ordered to pay the costs Mayfair 101 managing director James Mawhinney incurred during the regulator's failed attempt at bringing an expanded case against him. The order follows the Federal Court of Australia's decision last month to reject ... |
| | | | ... services in relation to secured lending transactions and share investment. Notably, a liquidator's report filed with ASIC for 13 of these companies showed that they were unable to pay their unsecured creditors more than 50 cents on the dollar. The corporate ... |
| | | | ... of customer calls in total, however, increased to over 210,00 during the period. The bank is currently in trouble with ASIC for allegedly neglecting more than 200 customer hardship requests over a seven-year period. Westpac blames it on "technology failure". ... |
| | | | The federal treasurer has named three new commissioners who will spearhead ASIC for the next five years, as incumbents Danielle Press, Sean Hughes and Karen Chester wrap up their terms. CHOICE chief executive Alan Kirkland, Commonwealth Bank chief risk ... |
| | | | ... which was concerned with Diversa's ability to manage risks and deliver quality outcomes to members, and was fined by ASIC for greenwashing in relation to Cruelty Free Super. |
| | | | ... AFSL was cancelled in December and its two responsible managers, Gail Glasby and Paul Carcallas, were both banned by ASIC for 10 years. Asher urges the government to immediately update the regulation to explicitly permit trustees to include lifetime ... |
| | | | ... disagreements over client categorisation hinted at a failure to address these concerns. Accordingly, AFCA forwarded the case to ASIC for further action. |
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