Search Results | Showing 681 - 690 of 5218 results for "2015-16 ASIC" |
| | | ... the financing of the company and other key issues. "This misalignment threatened the viability of the group." Last month, ASIC obtained interim orders from the Federal Court to freeze the assets of the Shield Master Fund, a registered managed fund overseen ... |
| | | | ASIC has banned two former directors and responsible managers of XTrade, a trading platform that offers clients opportunities to trade in contracts for difference (CFDs) and foreign exchange contracts. The directors, Shay Zakhaim and Anthony Anderson ... |
| | | | ... The Australian Securities and Investments Commission (ASIC) has banned Queensland-based financial adviser Anass Abdalla. ASIC said Abdalla has been banned from providing any financial services, performing any function involved in the carrying on of a ... |
| | | | ... Newlinds said. The matter was prosecuted by the Commonwealth Director of Public Prosecutions following ASIC's referral. ASIC deputy chair Sarah Court said: "Providing unlicensed financial advice denies Australian investors access to key protections ... |
| | | | ... action for $16 million. Senator Andrew Bragg has been highly critical of how ASIC has handled the Dixon matter. In 2021, ASIC settled to fine Dixon of $7.2 million in the Federal Court and did not pursue any other criminal matters. The fine has yet to ... |
| | | | ... risk governance cultures of APRA-regulated entities, their directors, and most senior executives. As part of the new update, ASIC and APRA have released an amendment to the regulator rules, which prescribes the key functions information for inclusion ... |
| | | | ASIC won its first Federal Court action in relation to breaches of design and distribution provisions against non-bank lender and investment manager Firstmac over a cross-selling strategy for investment products. The Federal Court found yesterday that ... |
| | | | ... on a financial services business or performing any function involved in the carrying on of a financial services business. ASIC found that he provided his employer, Cojag Pty Ltd, which trades as Horizon Financial Planners, with a fake Financial Adviser ... |
| | | | ASIC's regulation activity for the 2024 financial year is expected to slug financial advisers $48.39 million collectively as the annual levy does not appear to be reducing. Licensees that provide personal advice to retail clients on relevant financial ... |
| | | | Stake currently provides financial services as an authorised representative of Sanlam Private Wealth and global payments giant Airwallex; both hold an AFSL. But soon, Stake will operate under its own AFSL, offering services as an authorised representative ... |
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