Search Results | Showing 11 - 20 of 419 results for "Corporate regulator" |
| | | Former financial adviser Shivdeep Jaidka is under ASIC scrutiny; the corporate regulator has accepted a court-enforceable undertaking from him. After reviewing the financial services provided by Jaidka, ASIC found he failed to adhere to s961B and s961G ... |
| | | | The corporate regulator filed a lawsuit against a Queensland man who allegedly deceived people he knew into handing over $100 million to invest in companies he owned without a financial services licence. ASIC commenced proceedings in the Federal Court ... |
| | | | ASIC has issued its final reminder to the 757 financial advisers who have yet to register with the corporate regulator. As of February 6, ASIC counted many relevant providers who have outstanding registrations. They have until February 16 to get cracking ... |
| | | | ... at least 10-20% on investments that included crypto assets through his company, A One Multi Services. The corporate regulator alleges that Hala encouraged consumers to establish a self-managed superannuation fund (SMSF), and to roll over their existing ... |
| | | | ASIC deputy chair Sarah Court has reaffirmed that the corporate regulator is targeting member service failures, greenwashing, and inappropriate fees and charges, cautioning the superannuation industry to lift its game. At an industry event, Court said ... |
| | | | ... apply this thinking to the use and operation of AI by financial services licensees." Longo disclosed that the corporate regulator is already pursuing an action in which AI-related issues arise, where it believes the use of a demand model was part of ... |
| | | | ... last year, Fuoco was convicted and fined for his involvement in two companies while still being banned. The corporate regulator found that Fuoco was running Financial Circle from August 2017 to September 2018, despite being disqualified from managing ... |
| | | | ... that it has been operating for 25 years when in fact it was established around 5 May 2022, according to the corporate regulator. ASIC also rebuffed Penta Capital's claim that it was affiliated with the Financial Services Council, Australian Investment ... |
| | | | ... was a nationally significant regional community project which has been destroyed thanks to an out-of-control corporate regulator. The valuation uplift in Mayfair's portfolio confirms ASIC grossly mischaracterised Mayfair's business and its investments ... |
| | | | The corporate regulator recently suspended the AFSL of Melbourne-based over-the-counter (OTC) derivatives issuer Prospero Markets (Prospero). The penalty comes after the Forex and CFD trading platform, which services mainly Chinese-speaking clients ... |
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