Search Results | Showing 1 - 10 of 5360 results for "2015-16 ASIC" |
| | | ... has been hit with an interim stop order from the corporate regulator for target market determination (TMD) deficiencies. ASIC has prevented Fidante Partners, the responsible entity, from issuing Class A units in the fund for 21 days unless revoked earlier. ... |
| | | | ... continuous improvement and shared responsibility across licensees, advisers, employees and technology providers," he added. ASIC alleged the advice firm did not meet its AFSL obligations for failing to have adequate policies, frameworks, systems and ... |
| | | | ASIC is proposing to extend its product intervention order governing contracts for difference (CFDs) until 2037, while tightening protections to address risks posed by increasingly varied ways of settling the complex, leveraged products. The regulator ... |
| | | | The Australian Securities Exchange (ASX) said it plans to defend the claims submitted by one of its shareholders on ASX's behalf, stating the applications filed are "not in the best interests of the company." Rosherville Capital, a Sydney-based family ... |
| | | | Australians can access genetic testing without risking discrimination in life insurance under a new ban that took effect on October 8, with the Australian Financial Complaints Authority (AFCA) also updating its rules to handle complaints involving adverse ... |
| | | | ... superannuation trustees in relation to Shield and First Guardian is difficult to reconcile with the [Treasury] paper's own test. ASIC has commenced proceedings against every superannuation trustee that made these funds available on its platform," FAAA ... |
| | | | ASIC has made an interim stop order on the product disclosure statement (PDS) issued by Australian Secure Capital Fund (ASCF) offering units in three registered managed investment schemes. The interim stop order stops ASCF from offering, issuing, selling ... |
| | | | ASIC has launched civil penalty proceedings against former financial adviser Osama Saad, alleging he participated in schemes designed to avoid conflicted remuneration laws and provided unsuitable advice that directed hundreds of clients' superannuation ... |
| | | | ASIC has secured the appointment of receivers to Star Investment Group Australia and associated entities following a further Federal Court hearing into the investment scheme. Justice Anderson on October 6 appointed Adrian Robert Hunter and Jonathon ... |
| | | | ASIC has lifted three interim stop orders against Remara Investment Management's private credit products, after it amended its target market determination (TMD). Last week, the corporate watchdog claimed the products were too risky for retail investors. ... |
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