Search Results | Showing 1 - 10 of 4766 results for %22ASIC%22 |
| | ... hardship as a result of these planned new reporting requirements." Meantime, Australian Securities and Investments Commission (ASIC) chair Joe Longo said growing interest in environmental, social, and governance issues had driven the need for more thorough ... |
| | | The Australian Securities and Investments Commission (ASIC) has cancelled the Australian Financial Services Licence (AFSL) of JB Markets effective from 12 April 2024. ASIC said JB Markets failed to comply with the financial requirements of its AFSL ... |
| | | ... unauthorised fee transactions conducted by third parties, such as financial advisers, on customer cash management accounts. ASIC chair Joe Longo said fraud controls were increasingly important and the case against Macquarie has sent an important message ... |
| | | ... stabilising at 15,602, as Count and AMP Financial Planning continue to hold the lion's share. Rainmaker's analysis of the ASIC Financial Adviser Register (FAR) shows that the population dipped 2% from 15,881 this time last year. The numbers appear ... |
| | | ... in the case of EverBlu, a senior officeholder who oversaw and participated in the stockbroking services that it provided." ASIC chair Joe Longo said the penalties imposed by the court were significant and should act as a deterrent to engaging in market ... |
| | | The chief executive of the Australian Securities and Investments Commission (ASIC) will be leaving the regulator, effective June 1. ASIC chair Joe Longo accepted a request from the Commonwealth Director of Public Prosecutions (CDPP) for ASIC chief executive ... |
| | | ASIC has taken legal action against three blockchain mining companies - NGS Crypto, NGS Digital, and NGS Group - along with their sole directors Brett Mendham, Ryan Brown and Mark Ten Caten. The corporate regulator has accused the NGS companies of targeting ... |
| | | ASIC has released a consultation paper seeking feedback on updated regulatory guidelines for external administrators and controllers when reporting and lodging statutory reports about alleged misconduct. The proposed updates to Regulatory Guide 16 External ... |
| | | ASIC has appealed the Federal Court's decision to dismiss its proceedings against Finder Wallet. The corporate watchdog claimed that Finder Wallet provided unlicensed financial services, breached product disclosure requirements, and failed to comply ... |
| | | ... comply with basic obligations, including operating with almost no compliance staff or risk management processes. In July 2022, ASIC issued civil penalty proceedings against wholesale licensee Lanterne Fund Services, alleging that between March 2019 and ... |
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