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Showing 401 - 410 of 5221 results for "2015-16 ASIC"

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 ...

Fees for no service see former adviser banned

JAMIE WILLIAMSON  |  THURSDAY, 3 JUL 2025
... fees for no service. Kiriley Roper was a director, shareholder and adviser at Lighthouse Partners in Redcliffe, Queensland. ASIC alleges that between January 2022 and October 2023 Lighthouse Partners engaged in fees for no service conduct in relation ...

ASIC targets advisers, platforms, research houses in super switching scams

KARREN VERGARA  |  THURSDAY, 3 JUL 2025
ASIC warns it will take a deeper dive into the roles that financial advisers, superannuation platforms and research houses are playing in members being pushed into high-risk investment schemes. The corporate regulator is closely looking at the entire ...

Editor's Choice

Global X awards mandate for ETF business

ELIZA BAVIN
Global X has awarded a new custody and administration mandate for its Australian ETF business.

Bell Asset Management launches small-caps fund

KARREN VERGARA
Bell Asset Management has formally launched its Australian Small Companies Fund, which is run by former Tyndall Asset Management portfolio managers.

Former Australian Ethical finance chief lands new gig

MATTHEW WAI
The former chief financial officer of the ethical investment manager has joined a local finance company after wrapping up his tenure at AUB Group.

MySuper assets pursue $1.5tn Choice sector

KARREN VERGARA
MySuper assets are fast catching up to the $1.5 trillion Choice sector, hitting nearly $1.2 trillion in the March quarter.

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