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Showing 11 - 15 of 15 results for "Warren Day"

ASIC releases AFSL approval data

JAMIE WILLIAMSON  |  FRIDAY, 1 MAR 2019
... same period, 12 AFSLs were suspended and 191 were cancelled. ASIC executive director, assessment and intelligence, Warren Day said: "ASIC's licensing function provides the first gateway to ensuring applicants seeking an AFSL...meet minimum standards ...

AAT upholds AFSL rejection

OSKAH DUNNIN  |  TUESDAY, 15 JAN 2019
... and Financial Services Industry saw ASIC scrutinised for its lack of regulatory enforcement. ASIC senior executive Warren Day says this ruling is a reminder that "ASIC is not simply a rubber stamp." ASIC noted "that under s 1308(8) of the Act, it is ...

Assistant Treasurer refutes breach allegations

HARRISON WORLEY  |  FRIDAY, 26 OCT 2018
... Corporations Act. During Senate Estimates, Ketter asked ASIC senior executive leader for assessment and intelligence Warren Day about media reports which claimed Robert remained a director of alternative health company Cryo Australia until this week ...

ASIC warns SMSF accountants to have backup plan

KERRIE SYDEE  |  WEDNESDAY, 8 JUN 2016
... product advice on self-managed superannuation funds (SMSFs). ASIC senior executive leader, assessment and intelligence, Warren Day noted that after 30 June 2016, any accountant found to be providing unlicensed advice risked regulatory action and said ...

Scam artists impersonate ASIC and MoneySmart

JAMES FERNYHOUGH  |  WEDNESDAY, 24 JUL 2013
... is a follow-up scam intended to trick you into providing your personal details," Senior Leader, Stakeholder Services Warren Day said. "We ask the public to be cautious of calls like these. If you receive an unexpected call from someone in these circumstances ...
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