Search Results | Showing 551 - 560 of 5602 results for "ASIC" |
| | | ... to Judge Jackman's decision made last June to relieve Block Earner or Web3 Ventures of any liability and pay a fine. ASIC believed that Block Earner should pay a penalty of as much as $350,000. Judge Jackman at the time said Block Earner acted honestly ... |
| | | | ... almost three years, working as an investment analyst. He previously worked as an analyst in the market supervision division at ASIC, where he covered OTC derivatives surveillance. The credit specialist began his career with the corporate regulator, initially ... |
| | | | ... Master Fund. The fund was available on Macquarie Wrap, and Equity Trustees' NQ Super and Super Simplifier platforms. ASIC began its investigation in February 2024 to halt new investment offers and then made interim stop orders on four product disclosure ... |
| | | | ... setting an "ambitious target" to rebuild the advice industry to 30,000 advisers. The numerical target would also be embedded in ASIC's Statement of Expectations and would serve as a guiding principle, ensuring financial advice regulation must be focused ... |
| | | | ... But whether greater control benefits younger investors, typically with lower balances, remains open to question. In 2019, ASIC cautioned that many Australians were establishing SMSFs that were unsuitable for their circumstances, particularly those with ... |
| | | | ... Capital last month, the Federal Court has ordered both the fund and the entity to be wound up. In response to a petition by ASIC, the court has appointed Ross Blakeley and Paul Harlond of FTI Consulting as liquidators of Falcon Capital to shut down and ... |
| | | | ... Capital Advisory Committee. Additionally, Dwyer serves as a director of ASX-listed Iress and holds advisory roles with the ASIC Consultative Panel and the Global Advisory Council for Tobacco-Free Portfolios. In recognition of his industry and community ... |
| | | | ... getting death benefits paid out faster, according to research by Super Consumers Australia (SCA). In the wake of a review by ASIC into death benefit claims handling practices of superannuation trustees last month, which unearthed systemic failures that ... |
| | | | ... track firm-level reportable situations and internal dispute resolution (IDR) data to push financial firms to lift their game. ASIC is consulting on plans to publish dashboards containing firm-level reportable situations and IDR data later this year. ... |
| | | | ... AFS licensees - Australian Advice Network, IA Advice, and Sherrin Partners Services - have copped infringement notices from ASIC after their financial advisers provided personal advice while unregistered. Each licensee paid a $31,300 penalty in March. ... |
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