Search Results | Showing 1 - 10 of 2629 results for %22ASIC Act%22 |
| | ASIC has slapped a permanent ban on a financial adviser who doctored her exam certificate and continued to provide advice without the proper qualifications. Adele Baaini, while working as a representative for licensee AAN Wealth Management, has been ... |
| | | ... 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 ... |
| | | 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 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 ... |
| | | ... conduct for allegedly claiming IPO Wealth Group owned companies that it did not. Mawhinney has been in a years-long battle with ASIC now, with the regulator taking him to court for operating what it believes to be a Ponzi scheme and Mawhinney fighting ... |
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