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Showing 381 - 390 of 5203 results for "2015-16 ASIC"

Former BBY chair charged with aiding dishonest conduct

JAMIE WILLIAMSON | WEDNESDAY, 16 JUL 2025

... counselling or producing BBY's dishonest conduct, which has also led to charges against four other former BBY executives. ASIC alleges that in 2015, Rosewall was involved in BBY's use of $1.95 million of client money to pay an unrelated corporate invoice. ...

Funeral insurer fined $4.75m

MATTHEW WAI | FRIDAY, 11 JUL 2025

... offered its funeral expenses insurance policy Aboriginal Community Funeral Plan (ACF Plan) primarily to Aboriginal consumers, ASIC said. Both entities have been in liquidation since 2022. The $3.5 million penalty comes in addition to the $1.2 million ...

James Mawhinney contravened law: Federal Court

KARREN VERGARA | FRIDAY, 11 JUL 2025

... Group to pay a combined penalty of $30 million for misleading or deceptive advertising. In Judge Button's latest order, ASIC said it is seeking injunctions to restrain Mawhinney from advertising and fundraising through financial products, and from ...

Northern Trust selected to test tokenised asset uses

ELIZA BAVIN | THURSDAY, 10 JUL 2025

... major banks, have been conditionally selected, including the likes of Northern Trust, Commonwealth Bank, ANZ and Westpac. ASIC said there will be 19 pilot use cases, which will involve real money and real asset transactions; and five proof-of-concept ...

ASIC bans advisers for dodgy Shield Master Fund advice

KARREN VERGARA | WEDNESDAY, 9 JUL 2025

... an authorised representative of MWL Financial Services from 11 October 2017 to 27 December 2021, and from 28 March 2022. ASIC found that Bradley's Statements of Advice (SoA) to certain clients included false and misleading statements that implied clients ...

Licensee compliance head banned over fees for no service

MATTHEW WAI | WEDNESDAY, 9 JUL 2025

... more than $80,000. Roper was authorised by Crown Wealth Group when Moore was head of compliance and responsible manager. ASIC believes Moore is not adequately trained or competent as he failed to notify ASIC despite becoming aware of the fees for no ...

Adviser receives permanent ban over 'dishonest' conduct

MATTHEW WAI | TUESDAY, 8 JUL 2025

ASIC has permanently banned financial adviser Barry David King of Melbourne following several years of misusing client funds and falsifying documents. King was found to have engaged in serious misconduct, including concealing information from clients ...

ASIC funding levy to charge advisers $46.2m

KARREN VERGARA | FRIDAY, 4 JUL 2025

... only, in which there are 1991, will pay $16 million and pay a flat levy of $825. In budgeting the $39.3 billion FY25 levy, ASIC expects to allocate $17.2 million on enforcement activity and $5.6 million on supervision and surveillance. ASIC flagged it ...

ASFA publishes new service standards on claims handling

ELIZA BAVIN | FRIDAY, 4 JUL 2025

ASFA has released a new ASFA Service Standard - Claims Handling in Superannuation: Insurance and Health Related Claims, which it said is a significant step forward in improving member outcomes. ASFA said the new standard was made to guide superannuation ...

CSLR releases revised levy estimate

ELIZA BAVIN | FRIDAY, 4 JUL 2025

The Compensation Scheme of Last Resort (CSLR) has released a FY26 revised levy estimate, coming down slightly from the figure estimated in January. The CSLR said the need for a revised estimate was triggered due to the initial levy estimate, issued ...

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Invesco launches new equity fund

ELIZA BAVIN

Invesco said the new fund will give Australian investors access to a systematic global equity strategy with a 20-year track record.

FCA pursues Neil Woodford again

KARREN VERGARA

The Financial Conduct Authority (FCA) is going after failed fund manager Neil Woodford again, this time for allegedly providing unauthorised investment advice via W4.0, his Dubai-based investment platform.

Former APRA deputy chair launches retirement solutions startup

KARREN VERGARA

A former APRA deputy chair has launched CipherIQ, a new venture that provides retirement solutions via account-based pensions in partnership with superannuation funds, financial advisers and retirees.

Global X launches space tech ETF

MATTHEW WAI

Global X has now launched the space tech ETF (ASX: MOON).

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