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| | The Australian Securities and Investments Commission (ASIC) has permanently banned Queensland-based financial adviser Shane Rose. Rose has been banned from providing any financial services, performing any function involved in the carrying on of a financial ... |
| | | ... retrospectivity by covering historical claims based on the date the claim is made, not the date the claim is finalised." Before ASIC is charged with issuing and collecting the levy, a disallowance period of 15 days for each house of parliament must be ... |
| | | ASIC has released a new legislative instrument that extends relief to a broader class of quoted funds. ASIC Corporations (Relief to Facilitate Admission of Exchange Traded Funds) Instrument 2024/147 replaces [CO 13/721] ASIC Corporations (Relief to ... |
| | | The Federal Court has dismissed an appeal by Provide Capital; it must now comply with a notice issued by ASIC to produce documents and pay the regulator's legal costs. ASIC had previously served a notice on Provide Capital to produce documents as part ... |
| | | ... accept they were in error and continued to press for the division of Mayfair 101 to be wound up," it said. Two days later, ASIC joined the case as a 'friend of the court' and supported the trustee and liquidator's attempt to have the group ... |
| | | ... latest round of the internal dispute resolution (IDR) reporting regime saw 87% of small financial firms submit their data to ASIC. The deadline for the third round of reporting, which forced a total of 8600 financial services firms to submit data by ... |
| | | ASIC's action against Finder Wallet has fallen flat as the Federal Court rejected allegations it was spruiking a financial product related to cryptocurrency. Justice Markovic yesterday dismissed ASIC's case against Finder.com's Finder Wallet and its ... |
| | | ... auditors have been reprimanded for performing in-house audits. The Australian Taxation Office (ATO) referred 15 SMSF auditors to ASIC following a review of files from audit firms. ASIC said it had concerns that the financial statements for SMSF clients ... |
| | | ... system, the grid affects the banking, credit, insurance, superannuation, investment, payments, and capital market entities. ASIC, APRA, the Australian Competition and Consumer Commission (ACCC), Reserve Bank of Australia (RBA), and Australian Taxation ... |
| | | ... "If a company is raising money from the public... it needs to be truthful about its use of AI," he said. Closer to home, ASIC hasn't yet sounded the alarm on AI washing, but chair Joe Longo has voiced apprehensions regarding the adequacy of current regulations. ... |
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