Search Results | Showing 21 - 30 of 281 results for "Enforceable undertaking" |
| | | iExtend has been granted an AFSL, after entering a court enforceable undertaking last year over concerns of unlicensed conduct. In November 2023, the life insurance startup entered a court enforceable undertaking after ASIC pinged it for possibly operating ... |
| | | | ... November last year for serious failures, resulting in a $3.1 million penalty and a requirement to enter an enforceable undertaking. However, Ascot chose not to comply. Shortly after the infringement notice was issued, Ascot ceased operating as a market ... |
| | | | ... disciplinary action, and adviser status. The disciplinary actions break down into AFS banned/disqualification, enforceable undertaking, disqualified person, credit banned/disqualification, Financial Services Credit Panel (FSCP) action, and SMSF auditor ... |
| | | | ... financial adviser Shivdeep Jaidka is under ASIC scrutiny; the corporate regulator has accepted a court-enforceable undertaking from him. After reviewing the financial services provided by Jaidka, ASIC found he failed to adhere to s961B and s961G of the ... |
| | | | ... SMSFs and lend those funds to two companies where he was a director. Today, ASIC said it accepted a court-enforceable undertaking from former financial adviser Shivdeep Jaidka after he failed to provide appropriate SMSF advice. Jaidka most recently was ... |
| | | | ... start-up. The appointment comes as iExtend is in the throes of applying for an AFSL; in November it entered an enforceable undertaking with ASIC after it was found to be operating without one. For the time being, iExtend is operating under a Corporate ... |
| | | | ... management, insurance broking or dealing in financial products. Last November, the firm accepted a court enforceable undertaking from ASIC after the regulator found that the life insurance start-up was operating without a licence. iExtend partners with ... |
| | | | ... account; maintenance of records; and management of conflicts of interest. ASIC has already accepted a court enforceable undertaking from Blumenthal and EverBlue. This means that he will not be involved in financial services for five years and will undertake ... |
| | | | ASIC has accepted a court enforceable undertaking from iExtend Holdings Company (iExtend) after investigating concerns that it was operating without an AFSL. The undertaking also relates to iExi Pty Ltd, which trades as iExtend. Documents show the investigation ... |
| | | | Perth Mint has entered an enforceable undertaking (EU) with AUSTRAC to improve compliance with Australia's anti-money laundering and counter-terrorism financing (AML/CTF) laws. In August, the financial crimes regulator ordered the appointment of ... |
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