Search Results | Showing 131 - 140 of 2898 results for %22Regulator ASIC%22 |
| | | ... 11 SMSF auditors for conduct shortcomings and violating obligations in the quarter ending September 30. The corporate regulator's action was spurred by the auditors' failures in meeting assurance standards, independence requirements, and adhering to ... |
| | | | ... and abetting fraud and could face lengthy jail time. The Downing Centre Local Court charged Arunesh Narain Maharaj after ASIC alleged that he aided, abetted, counselled or procured offences by another former BBY employee, who dishonestly obtained a financial ... |
| | | | Former insurance adviser John Durant has been banned by the regulator for three years after he was found to have told clients to deposit insurance premiums directly into his personal account. Durant is prohibited from providing financial services, controlling ... |
| | | | ... the ASIC Act, in which a defendant can be forced to produce required documentation following noncompliance with the regulator. In its application, ASIC highlighted two principal ways in which Provide failed to adhere to its notice. "First, Provide has ... |
| | | | ... Bobbob customers. When customers withdrew from the product, their investment (plus interest) was returned in AUD. The regulator said to market the product, the Bobbob website featured an infographic comparing the interest rates available to customers ... |
| | | | ... consider regulatory action where licensees fail to deliver fair and timely remediation to affected consumers." Further, the regulator warned that the findings of this review are relevant given the recent passing of the Financial Accountability Regime ... |
| | | | ... misleading customers over the funds available to them in select credit card accounts. The Court found that ANZ breached both the ASIC and the National Consumer Credit Protection Act by falsely indicating that customers could access a cash advance from ... |
| | | | ... failed to pay more than $270,000 it is owed. The Federal Court hearing is set for October 3 in Melbourne, according to an ASIC notice. Last year, WJ & V Drakoulis Super took NextGen to AFCA, alleging it provided bad financial advice that involved investing ... |
| | | | ... charge $1.80 for periodic payments to other accounts within NAB and $5.30 for periodic payments to accounts at another bank, ASIC explained. NAB's terms also stated that customers would be entitled to exemptions from periodic payment fees for certain ... |
| | | | ... experience trader who had worked in the industry, ASIC added. The client's trading triggered ASIC alerts, which the regulator notified Interactive Brokers of in October 2021, and triggered 44 'marking the close' alerts on Interactive Brokers' own systems ... |
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