Search Results | Showing 131 - 140 of 4770 results for "ASIC" |
| | | ASIC has announced plans for strong, targeted enforcement action in the superannuation sector, focusing on member outcomes in 2024. Baring its teeth in an enforcement and regulatory update released today, the corporate regulator signalled that tackling ... |
| | | | ... former financial adviser who was jailed for breaching COVID-19 border restrictions to attend the AFL Grand Final had his ASIC banning order reduced. Mark Babbage, who was an authorised representative of Wealthsure and Capstone Financial Planning, will ... |
| | | | ... underprepared for cybersecurity breaches particularly when it comes to managing third-party providers, a new report from ASIC finds. Wealth managers across the spectrum have a long way to go to prove that they are cyber resilient and actively protect ... |
| | | | HESTA has come under fire, with ASIC issuing three infringement notices against the fund for purportedly publishing false or misleading performance figures about one of its investment options. The industry fund subsequently incurred a $48,600 fine for ... |
| | | | Financial advisers are set to pay $400 less in the ASIC funding levy, saving the industry $8 million in total, according to new estimates from the Financial Advice Association Australia (FAAA). Based on two legislative instruments dated November 3 ... |
| | | | ... clients affected by legal breaches by eight retail OTC derivative issuers, $13 million of which was paid by Binance alone. ASIC said the payments have been made to more than 2000 retail investors since March 2021. In addition to Binance, Capital Com ... |
| | | | ... to limit any potential liability, creating confusion in the market." The Australian Securities and Investments Commission (ASIC) "will play an important role in this transitional period, to ensure best practice reporting, and that all efforts are made ... |
| | | | ASIC is proposing to extend the temporary relief for superannuation trustees' disclosure and reporting consistency obligations for two years. ASIC is seeking feedback on the potential extension, including whether the current arrangement is operating ... |
| | | | ... satisfy the definition of a "qualified tax relevant provider" without having to undertake specific courses, according to ASIC. The corporate regulator said it made a one-off update to the Financial Advisers Register on November 3 to record that individuals ... |
| | | | ... product or service. The maximum penalty for this type of offence is 10 years' imprisonment and/or a fine of nearly $100,000, ASIC said. The Sterling Income Trust was established in 2012 as a funding vehicle for the Perth-based Sterling Group. From 2016 ... |
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