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Showing 1 - 10 of 680 results for "Records"

ASIC ceases a further 26 authorisations after review

MATTHEW WAI  |  FRIDAY, 3 JUL 2026
... qualifications or training courses marked from some 82 Australian financial services licensees. Of those individuals, 106 records on the FAR have been updated to reflect they are, in fact, qualified, while 26 have had their authorisation ceased. From ...

Mercer Super fined $10.3m for reportable situations failures

KARREN VERGARA  |  MONDAY, 29 JUN 2026
... Australia] to mislead ASIC". Rather, they reflect the" failure to consider, or properly to consider, the contemporaneous records available to it, including entries in the GRC database, or make other relevant inquiries, prior to lodging the relevant reports ...

Hostplus, AIA lose $1.4m TPD dispute

ELIZA BAVIN  |  THURSDAY, 21 MAY 2026
... determined that it was a "misrepresentation" as opposed to being "recklessly indifferent to the truth". According to medical records, the complainant was diagnosed with diabetes in 2018 and made the application for insurance in 2020. He then stopped ...

ASIC reviews AFSLs over finfluencer concerns

ELIZA BAVIN  |  FRIDAY, 24 APR 2026
... authorise finfluencers to have adequate, documented arrangements in place to actively supervise their conduct, and to maintain records of that supervision. "Licensees remain responsible and liable for what their representatives say and do online," Kirkland ...

GESB loses another key executive

JAMIE WILLIAMSON  |  MONDAY, 13 APR 2026
... the GESB corporate services business unit, including legal, secretariat and governance functions, information security, records and data management, risk and compliance, IT services, and people and culture. He had been brought on to support the fund's ...

ASIC disqualifies crypto fund director for five years

MATTHEW WAI  |  THURSDAY, 2 APR 2026
... report on company activities and property with liquidator Polychain and failed to ensure that it kept adequate books and records. Polychain became investment manager of the fund on 12 November 2022. ASIC believes Balanian's conduct was deliberate ...

FEATURE | Regulation: Picking up the pieces

KARREN VERGARA  |  TUESDAY, 24 MAR 2026
... ask for proof? "Can you see bank transactions purchasing shares or purchasing properties or even title deeds or share records? Then I think this problem wouldn't exist," she says. Two steps back The collapses have spelled trouble for the financial ...

Colter Bay Capital opens doors, launches private credit fund

KARREN VERGARA  |  TUESDAY, 10 MAR 2026
... "The businesses we are targeting have earned the right to grow. They have the cash flows, the management, and the track records. What they have lacked is a lender willing to look beyond the balance sheet. We are that lender, and we are bringing institutional ...

Trump announces new US retirement plan

ELIZA BAVIN  |  FRIDAY, 27 FEB 2026
... a lot of money. We have millions and millions of people. Because the stock market has done so well, setting all those records. Your 401(k)s are way up," Trump said. However, Trump said half of American workers do not have access to a retirement plan ...

Governance issues on the rise: ASIC

ELIZA BAVIN  |  WEDNESDAY, 25 FEB 2026
... ASIC said the increase in ROMs was driven largely by corporate governance concerns, including failures to provide company records, insolvency matters and shareholder issues. Corporate governance matters accounted for 40% of the issues, including fraud ...
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