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| | ASIC has filed a contempt application in the Federal Court against former Wealth & Risk Management (WRM) director Joshua David Fuoco. In February 2018, the Melbourne-based wealth manager was ordered by the Federal Court not to carry on or be involved ... |
| | | ASIC confirmed it is amending the financial adviser exam in accordance with the government's changes. Amendments to the exam were registered last week, following a consultation that wrapped up on January 10. ASIC has now also updated the relevant guidance. ... |
| | | ... demanded that funds demonstrate how stewardship activities contribute to investment value. Piper welcomes the heightened regulatory attention on ESG, including ASIC's initiatives to combat greenwashing, interpreting these developments as indicative ... |
| | | ME Bank has been fined by the Federal Court after it was found to have provided inaccurate information about its home loans to customers. The matter, prosecuted by the Commonwealth Director of Public Prosecutions, followed an investigation and referral ... |
| | | ASIC has fined a firm for making several false statements that included claims it managed nearly $7 billion in assets when it does not. Queensland-based Penta Capital boasted on its website between May 2022 and February 2023 that it managed $6.9 billion ... |
| | | ... In terms of grouping, the ALRC says there are parts of the existing legislation that can be consolidated into four regulatory themes: consumer protection, disclosure, financial advice, and general regulatory obligations. For instance, on the financial ... |
| | | ... that this will be the final extension and that it will focus its efforts on enforcing the registration regime and take regulatory action where necessary. ASIC commissioner Alan Kirkland said failure to comply could incur significant consequences for ... |
| | | ... underlying assets, including equity, fixed income, currency, commodity and crypto assets, to be available from 2024, pending regulatory approval. "We are delighted to announce this exciting partnership with Colonial First State and expand investor access ... |
| | | ... by their licensee. If they miss the deadline and continue to provide advice, the adviser and their licensee may face regulatory action. "While there have been a number of communications about this new obligation, we are aware that many licensee staff ... |
| | | ... company boards and is familiar with the issues relevant to impact investors and development financiers in our markets and regulatory environments." Meanwhile, Loikkanen said she is excited to join Finnfund in this new capacity. "This role combines my ... |
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