Search Results | Showing 1161 - 1170 of 5616 results for "ASIC" |
| | | ASIC's Market Disciplinary Panel handed Ord Minnett an $888,000 infringement notice over two contraventions of market integrity rules which occurred when conducting a buyback. According to ASIC, on 1 September 2021 the firm was instructed to commence ... |
| | | | ... said if the recommendations need some refinement, it is better that happens "afterwards." "If there is some poor conduct, ASIC has all the powers and tools it needs to put a quick stop to it," she said. "In the meantime, the recommendations will, if ... |
| | | | Future Super has been handed an infringement notice by ASIC over a Facebook post that implied all its funds under management had been invested in fossil fuels prior to transitioning to Future Super. The $13,320 infringement notice follows ASIC raising ... |
| | | | ... licensed by Financial Services Partners, a former Insignia Financial - then IOOF - licensee which was shut down in 2021. ASIC found Nugara's conduct was "deliberate, repeated and extended over several years", and that Nugara did not respond to any of ... |
| | | | ASIC has updated breach reporting procedures in the hope that it can help reduce regulatory burdens for financial advisers. The corporate watchdog detailed several changes to Regulatory Guide 78 Breach reporting by AFS licensees and credit licensees ... |
| | | | ... advance unsecured loans to Diverse to undertake property development. At least $1.4 million was loaned by about 10 clients, ASIC said. Approximately $652,500 was used for personal debts and expenses, including Refocus' business expenses, ASIC said. Gordon's ... |
| | | | The Federal Court has ordered Ascent Investment and Coaching to be wound up following ASIC's investigation into a $149 million Ponzi scheme. ASIC froze the assets of Ascent and its director Michael Dunjey in late December 2021. Dunjey was also forced ... |
| | | | ... bonds enabled the fund to make a small overall gain on Credit Suisse," an investor note read. In March, securities watchdog ASIC made an interim stop order that prevented CVC from offering or distributing CVC Notes 2 because of deficiencies with its ... |
| | | | Mayfair 101's James Mawhinney has seen his High Court appeal rejected, allowing ASIC's case against him to be retried in the Federal Court. In October 2022, the Full Federal Court ordered a retrial after it found ASIC's original case against Mawhinney ... |
| | | | According to the latest data on life insurance claims and disputes from APRA and ASIC, TAL is the largest player in the group insurance sector in Australia. TAL leads the life insurance market, boasting a 40.4% market share, insuring 3.9 million lives ... |
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