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Showing 11 - 20 of 333 results for "Watchdog"

FX coaching platform handed additional conditions over compliance failures

MATTHEW WAI  |  WEDNESDAY, 26 NOV 2025
... frameworks to ensure compliance with financial services law and provide two reports on these matters to ASIC for the watchdog to determine if any further action is warranted. "Compliance with the financial reporting and notification obligations is important ...

SQM Research faces court over 'favourable' rating of Shield

MATTHEW WAI  |  THURSDAY, 13 NOV 2025
... ASIC is suing SQM Research over its 'favourable' rating for the Shield Master Fund, marking the first time the watchdog has acted against a research house. ASIC alleges that the research house failed to obtain information needed to properly assess ...

ASIC confirms investigation into a Clime fund

KARREN VERGARA  |  FRIDAY, 31 OCT 2025
ASIC has commenced a preliminary investigation into the Clime Australian Income Fund. The corporate watchdog set the record straight, stating that it has commenced an investigation into the fund with respect to its compliance with the target market ...

Binance names head of APAC

MICHELLE BALTAZAR  |  THURSDAY, 4 SEP 2025
Global cryptocurrency exchange Binance appoints a new head of APAC after Vishal Sacheendran left the business in July. SB Seker, who previously worked as senior VP at Crypto.com, will lead the group's Asia Pacific operations, bringing with him a ...

ASIC flags firm grip on private and public markets, super funds

KARREN VERGARA  |  WEDNESDAY, 27 AUG 2025
... funds as key enforcement priorities over the next four years, insisting that it is not sitting on the sidelines. The watchdog singled out drastic changes in these three areas in its 2025-26 Corporate Plan, flagging that they are forces it cannot ignore. ...

ASIC warns of 'sharp rise' in financial misconduct

MATTHEW WAI  |  THURSDAY, 21 AUG 2025
... first discussion paper on the dynamics between public and private markets and a range of ongoing issues the corporate watchdog has dealt with over the past six months.

ASIC loses appeal against Finder Wallet

MATTHEW WAI  |  FRIDAY, 25 JUL 2025
... Wallet Ventures (previously known as Finder Wallet) is an AUSTRAC-registered digital currency exchange. The corporate watchdog initially alleged the crypto platform provided unlicensed financial services, breached product disclosure requirements, and ...

ASIC blasts managed funds' poor compliance plans

KARREN VERGARA  |  MONDAY, 2 JUN 2025
... investigating potential breaches of compliance plan obligations. "Failing to plan is planning to fail," the corporate watchdog warned. Out of the three obligations, the approach to DDO requirements was the poorest, followed by the treatment of IDR requirements. ...

Zurich fined over false and misleading statements

MATTHEW WAI  |  MONDAY, 19 MAY 2025
... advising the policyholders that their particular medical conditions were excluded, and no benefit was payable. The corporate watchdog alleges these statements were false or misleading as the policy terms applicable held by the policyholders did not exclude ...

UK watchdog to open Australian office

JAMIE WILLIAMSON  |  THURSDAY, 24 APR 2025
The UK's Financial Conduct Authority (FCA) will open an office in Australia so that the regulator can assist UK firms in entering the local market and vice versa. To be based in Australia from July, Camille Blackburn has been appointed director, Asia ...