Search Results | Showing 561 - 570 of 5616 results for "ASIC" |
| | | ... Australian investors while continuing to enhance the services we deliver to our clients with even greater capabilities." In March, ASIC launched a lawsuit against FIIG Securities over allegations of longstanding cybersecurity failures which saw the private ... |
| | | | ... allocations in Statements of Advice were "strikingly different" from what was suggested, excessively weighted toward real property. ASIC deputy chair Sarah Court said misconduct exploiting superannuation savings is an enforcement priority. ASIC updated ... |
| | | | ... up its governance, risk and compliance frameworks. With more than 30 years experience, Layton earlier worked as a senior ASIC regulator, a PwC partner for risk advisory services and a chief risk and compliance officer at Superpartners, BT and Westpac ... |
| | | | ... in her career Blackburn worked in regulatory risk at Macquarie Bank and spent five years in the investment banking team at ASIC. She also served as head of compliance, Asia Pacific for Travelex and global head of compliance for Westpac's institutional ... |
| | | | ... 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 ... |
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