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Showing 141 - 150 of 806 results for "Corporations Act"

AAT overturns ASIC ban on investment guru

CASSANDRA BALDINI | FRIDAY, 20 OCT 2023

... relevant provisions of the legislation. "As a result, I am convinced that the applicant has breached s 911C of the Corporations Act, a financial services law. This contravention alone justifies the discretion to impose a ban under s 920A(1)(e) of that ...

AMP shareholder class action settlement slashed

KARREN VERGARA | MONDAY, 9 OCT 2023

... plaintiffs argue that AMP was obliged to disclose such information when it first became aware of it under the Corporations Act, and consequently resulted in losses to shareholders who purchased or acquired an interest in the securities between 10 May ...

Provide Capital ordered to produce documents

CASSANDRA BALDINI | THURSDAY, 5 OCT 2023

... under the watchdog's surveillance in March last year, after concerns were raised that it breached both the Corporations Act 2001 and the ASIC Act. Court documents state that the alleged breach was connected to Provide's offering of investment ...

Adviser exam records 73% pass rate

JAMIE WILLIAMSON | FRIDAY, 15 SEP 2023

... candidates in three core areas: financial advice regulatory and legal obligations, including Chapter 7 of the Corporations Act, the Anti-Money Laundering and Counter-Terrorism Financing Act, the Privacy Act and the Tax Agent Services Act; applied ethical ...

Experience pathway enshrined in legislation

KARREN VERGARA | FRIDAY, 8 SEP 2023

... standards by that date cease to be a relevant provider and will face civil penalty sanctions for breaching the Corporations Act if they continue to provide personal financial advice. Previously, new entrants must complete an approved qualification as ...

ASX profits hit by CHESS setbacks, acts on review findings

ANDREW MCKEAN | THURSDAY, 17 AUG 2023

... examining whether ASX and its subsidiaries, along with its directors and officers, violated the ASIC Act 2001 and Corporations Act 2001. ASIC is focusing on the oversight of the program and the accuracy of statements and disclosures made by the ASX about ...

FSCP issues slap on the wrist to adviser

KARREN VERGARA | FRIDAY, 11 AUG 2023

... Subsequently, the adviser was given a written reprimand in breaching sections 961B(1), 961G, 961J(1) and 921E(3) of the Corporations Act 2001 in relation to personal advice provided to retail clients between January 2022 and March 2022. Looking closely ...

ASIC looking to send message with eToro action

CASSANDRA BALDINI | WEDNESDAY, 9 AUG 2023

... insurer was penalised by the Federal Court after it was found guilty of several breaches of the ASIC Act, the Corporations Act, and the Insurance Contracts Act between November 2015 and October 2018.

Treasury consults again on FFSP exemptions

JAMIE WILLIAMSON | TUESDAY, 8 AUG 2023

... (Measures for Future Bills) Bill 2023: Licensing Exemptions for Foreign Financial Services Providers, amending the Corporations Act to better facilitate cross-border financial services while ensuring regulatory oversight. Within the Bill, the government ...

ASX appoints former ASIC chair to lead advisory group

CASSANDRA BALDINI | THURSDAY, 3 AUG 2023

... looked to investigate if the exchange and its directors' breached obligations under several sections of the Corporations Act. ASIC further clamped down with demands the ASX produce two special reports to make sure that the exchange rectifies its ...

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Australian Unity to shed 195 roles

MATTHEW WAI

Australian Unity is reducing its workforce by 195 positions due to underperformance stemming from delays in government support for its Home Health platform and the integration of several businesses.

Count shutters limited-advice business, slips in size ranking

MATTHEW WAI

Count Financial has reportedly wound up its restricted SMSF/limited-advice service, losing some 26 advisers on the Financial Adviser Register, latest data shows.

First Super recruits head of investments from Prime Super

MATTHEW WAI

First Super has appointed a new head of investments, replacing Chris Artis, who was in the position for the past three months on an interim basis.

BMO eyes Euroz Hartleys' capital markets business

KARREN VERGARA

Euroz Hartleys confirmed it is in discussions with Canada's BMO Financial Group for a potential sale of its capital markets business for $145 million.

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