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Showing 21 - 30 of 805 results for "Corporations Act"

Australian Unity cops fine for TMD, DDO failures

KARREN VERGARA | MONDAY, 2 FEB 2026

... said: "AUFM co-operated with ASIC in its investigation, and AUFM agreed that it contravened s 994E(3) of the Corporations Act when it failed to take reasonable steps to ensure that its issuing of interests in the Fund to retail clients was undertaken ...

BPS Financial fined $14m over Qoin Wallet

ANGELIQUE MINAS | WEDNESDAY, 28 JAN 2026

... over an additional 10-month period, as it did not qualify for the authorised representative exemption under the Corporations Act when issuing Qoin Wallet. BPS Financial has been handed a total of $14 million in penalties, including $2 million for unlicensed ...

ASIC seeks feedback on updating financial reports relief guidance

MATTHEW WAI | TUESDAY, 13 JAN 2026

... 2011, providing guidance for entities seeking relief from the financial reporting and audit requirements of the Corporations Act for companies, disclosing entities, registered managed investment schemes, corporate collective investment vehicles, and ...

RM Capital, SMSF Club to pay $925k over conflicted remuneration

RIDDHIMA TALWANI | FRIDAY, 19 DEC 2025

... as the licensee that authorised SMSF Club to provide financial services, RM Capital contravened s963F of the Corporations Act by failing to take reasonable steps to ensure SMSF Club did not accept the payments. ASIC deputy chair Sarah Court said: "The ...

Receivers appointed to First Mutual Private Equity

MATTHEW WAI | THURSDAY, 18 DEC 2025

... a group of unlicensed representatives that claimed to operate under exemptions outlined in section 708 of the Corporations Act. It is understood that this was reported to ASIC in June 2024.

ASIC welcomes support for simplifying guidance on conflicts of interest

MATTHEW WAI | TUESDAY, 16 DEC 2025

... investor and economic harm within the financial services sector, ASIC said. Under section 912A(1)(aa) of the Corporations Act 2001, AFSL holders must have adequate arrangements in place to effectively manage all conflicts of interest, except those that ...

ASIC releases legal obligations for private credit funds

ELIZA BAVIN | TUESDAY, 9 DEC 2025

... guidance for wholesale funds. In the catalogue, the regulator reminds fund operators of their obligations under the Corporations Act to do all things necessary to ensure that financial services covered by an AFSL are provided efficiently, honestly and ...

68% pass financial adviser exam: ASIC

KARREN VERGARA | MONDAY, 8 DEC 2025

... total, 22,386 individuals have sat the exam since it was mandated. Of these, 92% have passed. Section 921B of the Corporations Act 2001 requires relevant providers and those training to become a relevant provider to pass the financial adviser exam to ...

ASIC strengthens codes of conduct guidance

KARREN VERGARA | WEDNESDAY, 3 DEC 2025

... that is not approved by ASIC; voluntary codes developed by an industry and approved by ASIC under s1101A of the Corporations Act 2001 ; or mandatory codes that are prescribed by the government. Separately, ASIC recently called for feedback on its proposed ...

ASIC to monitor union redundancy funds

ELIZA BAVIN | THURSDAY, 27 NOV 2025

... was launched in June, ASIC has outlined its approach to the regulation of employee redundancy funds under the Corporations Act 2001 (Corporations Act), once the current relief expires on 1 April 2026. Operators of employee redundancy funds and long service ...

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BT appoints new head of strategy

KARREN VERGARA

A former Allianz Retire+ executive has joined BT as the new head of strategy.

ASX sees trade volumes soar in May

MATTHEW WAI

ASX saw a substantial growth in trade volumes last month, despite continued lackluster movement in IPOs.

Otivo launches AI-powered financial advice

MATTHEW WAI

Otivo has launched a mobile app for Australians to access licensed advice powered by AI.

Munro expands access to climate focused fund

VINNY VUCAGO

The Munro Global Growth Climate Leaders PIE Fund has been opened to retail investors in New Zealand.

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