Search Results | Showing 21 - 30 of 103 results for %22ASIC Class Order%22 |
| | | Flexing its powers for the first time, ASIC has issued stop orders to three companies over deficiencies in their products' target market determinations. In what marks its first use of its stop order powers under the design and distribution obligations ... |
| | | | ASIC has released guidance for superannuation calculators and retirement estimates, while also updating relief around how super funds can provide retirement estimates to members. RG 276 outlines what super funds need to do to rely on the existing relief ... |
| | | | ASIC has extended the relief for superannuation trustees who give their members retirement estimates as part of their periodic statements. The existing relief has been extended for a period of nine months, which the regulator said will allow superannuation ... |
| | | | ... muted growth observed elsewhere in the second half of the year," Investment Trends head of research Irene Guiamatsia said. ASIC made intervention orders in October 2020 in a bid to stem the amount of losses retail investors suffered from trading CFDs. ... |
| | | | ... Fund, a $5 billion fund which invests in Australian mortgages, cash and other credit instruments. The penalty comes after ASIC accused La Trobe of advertising including statements that any capital invested in the fund would be 'stable'. The regulator ... |
| | | | ... Alderman-led class action against Dixon Advisory is attempting to ring fence the $7.2 million civil penalty determined by ASIC. Kosen-rufu, an applicant in a class action against Evans & Dixon (now E&P Financial Group) and subsidiary Dixon Advisory and ... |
| | | | ... traded as high as $2.30 per share in 2016, before its troubles began, to currently 31 cents per share at the time of writing. ASIC pursued E&P last year, alleging a representative failed to look after client's best interest, individual circumstances ... |
| | | | ASIC is making it easier for offshore market makers to work with ASX-listed and Chi-X listed ETFs. The corporate regulator has amended Class Order 13/721 [CO 13/721] to remove the requirement that an authorised participant must be an Australian resident ... |
| | | | IOOF will take remedial action to address deficiencies identified by ASIC within Bridges Financial Services and RI Advice Group. During surveillance in December 2020, ASIC found 15% of client files from Bridges and 17% of files from RI Advice contained ... |
| | | | ... noted the financial impact of the settlement is not material. In 2018, CBA paid $25 million to settle its BBSW scandal with ASIC which included $5 million penalty, $15 million to a financial consumer protection fund and $5 million to ASIC for its litigation ... |
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