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Showing 361 - 370 of 5374 results for "2015-16 ASIC"

ASIC eyeing advisers recommending private credit funds

ELIZA BAVIN  |  WEDNESDAY, 3 DEC 2025
ASIC commissioner Alan Kirkland has told an industry event that the regulator is keeping an eye on the private credit sector, with increased surveillance continuing in 2026. "On the retail side, this surveillance will look at disclosures of fees and ...

Shield proposes to liquidate equities to pay investors

KARREN VERGARA  |  WEDNESDAY, 3 DEC 2025
... propose to set aside sufficient assets to pay the claims of non-investor creditors of Keystone who have lodged proofs of. ASIC commissioner Alan Kirkland told an industry event yesterday the regulator has 10 separate Federal Court proceedings against ...

ASIC strengthens codes of conduct guidance

KARREN VERGARA  |  WEDNESDAY, 3 DEC 2025
ASIC has refreshed its regulatory guidance on codes of conduct for the financial services sector, saying that they have an important role in how financial products and services are regulated. ASIC has updated Regulatory Guide 183 Codes of conduct for ...

More than 2000 advisers at risk as deadline looms

JAMIE WILLIAMSON  |  MONDAY, 1 DEC 2025
... Register. Of these, 7959 hold an approved degree or qualification, while 4212 are relying on the experienced provider pathway, ASIC said. A further 972 are recorded as both holding a relevant qualification and relying on the pathway. However, the balance ...

ASX suffers another outage

ELIZA BAVIN  |  MONDAY, 1 DEC 2025
The ASX has confirmed it is investigating an issue which was impacting the publication of company announcements. The outage began at 8:59am AEDT, and some annoucements were being published as of 11:22am AEDT after the ASX implemented an initial remediation ...

Former ASIC supervisor joins crypto platform as operating chief

MATTHEW WAI  |  MONDAY, 1 DEC 2025
... distributing digital assets falling under the classification of financial products will be required to apply for an AFSL. ASIC has granted a sector-wide no-action position until 30 June 2026 but urged those entities to act promptly to avoid any compliance ...

ASIC suspends Newcastle advice firm's AFSL over missing key person

MATTHEW WAI  |  FRIDAY, 28 NOV 2025
ASIC has suspended the AFSL of Focused Financial Advice (FFA) until December 19, which has operated for more than two years without a key person. FFA was established in 2003 and provides financial services around superannuation, life insurance, retirement ...

Morningstar widens private credit coverage, kicks off with Metrics

RIDDHIMA TALWANI  |  FRIDAY, 28 NOV 2025
Morningstar will kick start ratings coverage of Australian private credit and private equity funds from next year, picking Metrics Credit Partners for its first assessment. The research house said that while the private credit ratings will be available ...

FAAA's Advice Academy launches

KARREN VERGARA  |  FRIDAY, 28 NOV 2025
... analysis of the Financial Advisers Register at the end of September showed there were 15,446 active advisers. That month, ASIC warned that the profession was at risk of losing 3500 advisers if they do not review the accuracy of their Financial Adviser ...

ASIC accuses ALAMMC Group directors of contempt

MATTHEW WAI  |  FRIDAY, 28 NOV 2025
ASIC said that a husband and wife who misappropriated investor funds from their property development scheme operating under ALAMMC Group are guilty of contempt for allegedly, among other things, transferring more than $500,000 from their frozen accounts. ...