Search Results | Showing 161 - 170 of 813 results for "Corporations Act" |
| | | ... regulated very differently to other financial services sectors. Interim Report C wants to simplify Chapter 7 of the Corporations Act and ultimately bring together all the financial advice provisions into a single legislative chapter. Various parts of ... |
| | | | ... any benefit as a result of the telephone conversations," the FSCP said. The panel said Mr. S contravened the Corporations Act by engaging in misleading or deceptive conduct and breaching the Code of Ethics. The FSCP ultimately ordered Mr. S's licensee ... |
| | | | ... 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 ... |
| | | | ... settling has been a fully regulated activity and included in the definition of a 'financial service' under the Corporations Act 2001 with an obligation to provide services efficiently, honestly and fairly. Paterson is based in Sydney and commences in ... |
| | | | ... someone authorised to provide personal advice to retail clients about financial products in accordance with the Corporations Act. The explanatory memorandum uses the term "financial adviser" and "relevant provider" interchangeably. The Financial Advice ... |
| | | | ... also highlighted issues in the investment and financial advice sectors, particularly concerning breaches of the Corporations Act 2001 related to client suitability assessments for trading. A particular financial firm was found negligent in its responsibility ... |
| | | | ... related to superannuation, following the Federal Court's MetLife decision. As it stands, under Part 7.10A of the Corporations Act, AFCA has certain statutory powers to deal in superannuation complaints, with these powers broadly mirroring those of the ... |
| | | | ... 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. At the time, MLC provided income protection cover ... |
| | | | ... felony has triggered the very first sentencing of a social media personality in Australia under s1041D of the Corporations Act, following findings he used 13 different share trading accounts, held in the names of friends and relatives, to manipulate ... |
| | | | ... permanent injunctions placed on the finfluencer. Late last year, the Court found Scholz had contravened s911A of the Corporations Act by carrying on an unlicensed financial service business between March 2020 and November 2021. During the time of misconduct ... |
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