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Showing 361 - 370 of 5203 results for "2015-16 ASIC"

ASIC says Cboe listing will 'foster competition'

ELIZA BAVIN  |  THURSDAY, 7 AUG 2025
ASIC has confirmed it is in the final stages of considering a listing market application from Cboe Australia, a subsidiary of Cboe Global Markets (Cboe). ASIC said the move would foster competition and innovation, creating more opportunities for companies ...

SQM sheds light on Shield Master Fund, First Guardian ratings

MATTHEW WAI  |  WEDNESDAY, 6 AUG 2025
SQM Research is facing scrutiny over its questionable ratings of the defunct Shield Master Fund and First Guardian schemes. SQM Research managing director Louis Christopher has released a statement overnight explaining the assigned ratings. Christopher ...

Guilty plea entered in Ponzi scheme case

JAMIE WILLIAMSON  |  TUESDAY, 5 AUG 2025
... some $1.97 million was transferred to Arandez under the guise it would be invested in property and crypto assets. In 2022, ASIC sought orders to freeze Arandez's assets. At that time, it believed at least $2.5 million had been obtained from investors. ...

ASX chief compliance officer to step down

MATTHEW WAI  |  FRIDAY, 1 AUG 2025
Daniel Moran, the chief compliance officer of the Australian Securities Exchange (ASX) since January 2023, has announced his resignation. During the transition period, general manager listings compliance Garth Riddell will step into the role of interim ...

ASIC calls out trustees 'passing the buck' on super switching

KARREN VERGARA  |  THURSDAY, 31 JUL 2025
ASIC fired a stern warning to superannuation funds about "passing the buck" to financial advisers and shedding responsibility for overlooking dodgy investment options as the fallout from the Shield Master Fund and First Guardian Master Fund mounts to ...

Adviser banned for PRP supervision failures

MATTHEW WAI  |  THURSDAY, 31 JUL 2025
... financial adviser and nominated supervisor of a PRP at the firm, but ASIC has identified several oversights in the process. ASIC said Potter did not properly supervise the PRP when they were providing superannuation advice, specifically in relation to ...

Former adviser charged over clients' near $1m loss

MATTHEW WAI  |  WEDNESDAY, 30 JUL 2025
... to a financial product, contrary to s 1041G of the Corporations Act and one charge of the same offence committed by proxy, ASIC said. The charges allege Cuthbertson made a series of dishonest representations relating to the acquisition of shares in his ...

Sequoia resumes trading after ASX query

ELIZA BAVIN  |  WEDNESDAY, 30 JUL 2025
... which is investigating the failure of the Shield Master Fund and First Guardian Master Fund and their responsible entities." ASIC is investigating InterPrac as part of its ongoing investigations into the Shield and First Guardian funds as Venture Egg ...

Special feature: Shaping private markets

ELIZABETH FRY  |  TUESDAY, 29 JUL 2025
... After examining 23 different super funds, the regulator found only three met its expectations for sound valuation practices. ASIC recently followed with a discussion paper raising red flags around valuation practices, liquidity and transparency-especially ...

ASIC issues warning over BTG Technology

ELIZA BAVIN  |  MONDAY, 28 JUL 2025
ASIC has warned Australian investors against investing in unlicensed cryptocurrency futures products offered by BTG Technology Holdings Limited and its related entities (Bitget). ASIC said Bitget does not hold an AFSL, meaning it is not permitted to ...