Search Results | Showing 21 - 30 of 284 results for "Enforceable undertaking" |
| | | ... And, earlier this week, it was announced one of its superannuation RSEs, OnePath, has entered a court enforceable undertaking with APRA and paid a $10.7 million fine as it continues to identify members whose contributions weren't directed to a MySuper ... |
| | | | ... MySuper product when they should have been; this conduct has also led to Insignia Financial entering a court enforceable undertaking with APRA, also announced today. Finally, the balance of $20 million related to historic product remediation, the company ... |
| | | | OnePath Custodians is entering a court enforceable undertaking with APRA and will pay close to $11 million, as it continues to identify super members whose contributions weren't directed to a MySuper option when they should have been. APRA has agreed ... |
| | | | 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 ... |
|