Search Results | Showing 41 - 50 of 2889 results for %22Regulator ASIC%22 |
| | Former financial adviser Shivdeep Jaidka is under ASIC scrutiny; the corporate regulator has accepted a court-enforceable undertaking from him. After reviewing the financial services provided by Jaidka, ASIC found he failed to adhere to s961B and s961G ... |
| | | ... or a minimum external product research rating, without records of further research or consideration, ASIC noted. The regulator said it will continue to work closely with APRA to drive better practices in the superannuation industry, noting the latter's ... |
| | | ... putting the pressure on financial advisers to provide appropriate SMSF advice using "professional judgment", as the regulator flags serious instances of misconduct it wants to curb. At the annual SMSF Association National Conference, ASIC senior executive ... |
| | | The corporate regulator filed a lawsuit against a Queensland man who allegedly deceived people he knew into handing over $100 million to invest in companies he owned without a financial services licence. ASIC commenced proceedings in the Federal Court ... |
| | | ... charges in March 2023, representing himself and notifying the court he wanted to enter a guilty plea as soon as possible. An ASIC investigation found that between January 2020 and June 2022 he obtained at least $440,000 from 79 clients, primarily contacting ... |
| | | ... stealing. He was later charged with 36 counts in total and, upon being found guilty, was sentenced to five years in prison. Now, ASIC has made two orders permanently banning him; under the Corporations Act and National Consumer Protection Act, ASIC can ... |
| | | ... found to have offered a financial product to retail investors without a licence. However, it was a mixed outcome for the regulator, with another allegation quashed. The federal court determined Block Earner's Earner offering, which allowed investors ... |
| | | ASIC has issued its final reminder to the 757 financial advisers who have yet to register with the corporate regulator. As of February 6, ASIC counted many relevant providers who have outstanding registrations. They have until February 16 to get cracking ... |
| | | ... Investments. The orders apply across all classes of the fund, being Balanced, Growth, High Growth, and Conservative. The regulator said it made the orders "to protect retail investors from acquiring products under PDSs that may be defective and not worded ... |
| | | ... Federal Court has ordered Brite Advisors (Brite) to be wound up on just and equitable grounds following an application by ASIC. At a hearing yesterday, the Court appointed Linda Smith and Robert Kirman of McGrath Nicol as liquidators to Brite and as ... |
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