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Showing 31 - 40 of 1394 results for "Investments Commission"

Regulators praise super law reform

ELIZA BAVIN  |  FRIDAY, 14 FEB 2020
The Australian Securities and Investments Commission (ASIC) and the Australian Prudential Regulation Authority (APRA) have jointly welcomed the proposed legislative reforms increasing the role of ASIC in the superannuation industry. The proposed changes ...

New Year, new APRA

ALLY SELBY  |  FRIDAY, 20 DEC 2019
... particularly those within the Council of Financial Regulators (CFR) including the Australian Securities and Investments Commission (ASIC), The Reserve Bank of Australia (RBA) and Treasury," it said. "However APRA has recognised it can promote more coordinated ...

APRA slaps extra conditions on Avanteos

HARRISON WORLEY  |  WEDNESDAY, 11 DEC 2019
... weaknesses that allowed these breaches to occur. "APRA has been liaising with the Australian Securities and Investments Commission (ASIC), which continues to conduct its own investigation into these matters. We don't rule out taking further action ...

ASIC probes Regal Funds Management

HARRISON WORLEY  |  WEDNESDAY, 27 NOV 2019
... manager, Regal Funds Management Pty Ltd, that it is under investigation by the Australian Securities and Investments Commission for an undisclosed issue," EQT said in a statement to the ASX. EQT said it expected the trading halt to be lifted once further ...

ASIC freezes Sydney advisers' assets

ELIZA BAVIN  |  WEDNESDAY, 6 NOV 2019
The Australian Securities and Investments Commission have obtained consent orders and undertakings in the Supreme Court of NSW against QWL, QWL Asset Management and sole director Ross Hopkins. "ASIC commenced an investigation in relation to allegations ...

ASIC bans former Fitzpatricks employee

ELIZA BAVIN  |  MONDAY, 28 OCT 2019
... banned from providing financial services after stealing close to $300,000. The Australian Securities and Investments Commission said Emma Maree Radke provided administration services from a company related to Fitzpatricks from 2011 to 2018. ASIC said ...

CommInsure charged over hawking

HARRISON WORLEY  |  FRIDAY, 4 OCT 2019
... the end of 2014. "These matters had been the subject of an investigation by the Australian Securities and Investments Commission (ASIC)," CBA said. "CMLA reported breaches of anti-hawking provisions to ASIC." The case will be first mentioned on November ...

Adviser cops three-year ban

KANIKA SOOD  |  WEDNESDAY, 25 SEP 2019
The Australian Securities and Investments Commission banned a financial adviser from providing any financial services for a period of three years. The corporate regulator made a banning order against Kyle Jonothan Perry Marshall under the Corporations ...

Australia investor friendly, not consumer friendly: Report

ELIZA BAVIN  |  WEDNESDAY, 18 SEP 2019
... fees for investors, it appears this is not getting passed on to consumers. The Australian Securities and Investments Commission have signaled it is looking into fees charged to consumers for financial advice. ASIC is looking into the "reasonableness" ...

Perth adviser to face court

KANIKA SOOD  |  THURSDAY, 5 SEP 2019
... the incident, Platinum Perpetual Global Private Wealth Pty Ltd has asked the Australian Securities and Investments Commission for its AFSL to be cancelled.