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Showing 91 - 100 of 1464 results for "Investments Commission"

The barriers to limited advice: Licensees

ANNABELLE DICKSON  |  MONDAY, 11 JAN 2021
... documents are the major barriers to limited advice, according to licensees. The Australian Securities and Investments Commission's (ASIC) latest consultation paper, Promoting access to affordable advice for consumers, is giving not only advisers but ...

Director charged with dishonest conduct

ANNABELLE DICKSON  |  FRIDAY, 4 DEC 2020
... charged a man with seven counts of dishonest conduct following a referral from the Australian Securities and Investments Commission (ASIC). In addition to the seven counts, Mudasir Mohammed Naseeruddin as also charged with two counts of failing to exercise ...

ASIC takes SMSF accountant to court

ANNABELLE DICKSON  |  TUESDAY, 24 NOV 2020
The Australian Securities and Investments Commission (ASIC) has commenced legal proceedings in the Federal Court against a Gold Coast-based SMSF accountant for failing to comply with an enforceable undertaking. Jenan Oslem Thorne, otherwise known as ...

ASIC opens consultation on scaled advice

ANNABELLE DICKSON  |  TUESDAY, 17 NOV 2020
The Australian Securities and Investments Commission (ASIC) is calling on financial advisers to provide feedback to its consultation paper on affordable scaled advice. As previously announced last month, ASIC's latest consultation paper, Promoting access ...

Federal Court freezes investment scam, winds up SMSF operator

ANNABELLE DICKSON  |  TUESDAY, 27 OCT 2020
... winding up of two unlicensed financial services businesses, upon referral from the Australian Securities and Investments Commission (ASIC). The Federal Court has made orders to restrain Matthew Alan Beresford from continuing a financial services business ...

Man arrested over investment scam

ANNABELLE DICKSON  |  FRIDAY, 16 OCT 2020
An investigation by the Australian Securities and Investments Commission has culminated in an arrest over a suspected investment scam. The 42-year-old Melbourne man was arrested following a joint investigation by ASIC and Victoria Police E-Crime Squad ...

ASIC reviewing risk advice, pushes for scaled advice

ANNABELLE DICKSON  |  WEDNESDAY, 14 OCT 2020
The Australian Securities and Investments Commission is conducting a review of life insurance advice and plans to consult with the industry on scaled advice this year. Speaking at the Association of Financial Advisers Conference, ASIC senior executive ...

ASIC puts SMSF auditors on notice

ANNABELLE DICKSON  |  MONDAY, 21 SEP 2020
The Australian Securities and Investments Commission imposed tougher registration conditions for two SMSF auditors following a slew of misconduct. William Krammer from Victoria and Yuk Wong from New South Wales have breached auditor independence and ...

ASIC warns Indigenous Australians over scams

ANNABELLE DICKSON  |  WEDNESDAY, 19 AUG 2020
... corporate regulator is urging Indigenous Australians to be wary of scams. The Australian Securities and Investments Commission is one of the agencies responsible for the National Indigenous Consumer Strategy and reveals the costly effects of consumers ...

12 charged in $17m fraud

ELIZA BAVIN  |  WEDNESDAY, 22 JUL 2020
... ATO officers have initiated debt recovery processes relating to tax debts. The Australian Securities and Investments Commission will target corporate compliance and regulatory issues." ATO assistant commissioner Aislinn Walwyn, who leads the agency's ...