Search Results | Showing 1 - 10 of 124 results for "ASIC Act" |
| | ... state of mind required to conduct an investigation under the Australian Securities and Investments Commission Act 2001 (ASIC Act). Justice Rofe found that the firm's argument was "illogical and therefore that Provide Capital's application had ... |
| | | ... that were false or misleading." Today, Justice O'Bryan found Vanguard broke the law numerous times, breaching the ASIC Act when it made representations about the screens it was applying to the fund. This was to have occurred between August 2018 and ... |
| | | Australian Securities and Investments Commission (ASIC) commissioner Alan Kirkland has admitted the regulator can't fight every battle of misconduct, but that doesn't mean it's not watching. Speaking at the Blockchain APAC Policy Week event, Kirkland ... |
| | | ... produce documents as part of an ongoing investigation, which the company failed to do. According to Section 33 of the ASIC Act, the regulator is authorised to require the production of documents from a person or a company. If a person fails to comply ... |
| | | Fifteen self-managed super fund (SMSF) auditors have been reprimanded for performing in-house audits. The Australian Taxation Office (ATO) referred 15 SMSF auditors to ASIC following a review of files from audit firms. ASIC said it had concerns that ... |
| | | ... seek to exploit perceived gaps," has previously said. Holding Redlich special counsel Sarah Butler says that under the ASIC Act 2001, a corporation must not, in trade or commerce, engage in conduct concerning financial services that's misleading or deceptive. ... |
| | | ... right to continue charging fees and failed to provide services to members efficiently. This led to a violation of the ASIC Act in connection with fees for no service misconduct. Agreed facts state that between December 2015 and November 2021, OnePath ... |
| | | ... "ASIC's actions are informed by the objectives of the legislative regimes it administers, and by the objects of the ASIC Act itself. I am informed by the same matters. I do not see how a banning order made under the Corporations Act or the NCCP Act ... |
| | | ... 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 opportunities ... |
| | | ... program. The probe is 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 ... |
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