Search Results | Showing 51 - 60 of 256 results for "Financial Services Law" |
| | | ... dishonest actions showed serious incompetence and irresponsibility, and that he is likely to contravene financial services law in future". Prior to Octillion Partners, Rose was licensed through MyPlanner Professional Services and was not able to provide ... |
| | | | ASIC has had its first court win in relation to cryptocurrency, with fintech Block Earner 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. ... |
| | | | ... deal also includes QMV Legal, which provides advice to entities on issues including superannuation and financial services law; investments and ESG management; and mergers and successor fund transfers. The Novigi brand will become the primary identity ... |
| | | | ... separating the financial services legislation from the rest of the Corporations Act to create a standalone Financial Services Law rulebook. The ALRC said provisions should have thematic and conceptual coherence; related provisions should be grouped together ... |
| | | | ... do so; is not adequately trained or competent to provide financial services; and is likely to contravene financial services law. ASIC believes that about 40 clients were affected and some $3.5 million invested was not approved by Shaw and Partners. He ... |
| | | | ... legislation. "As a result, I am convinced that the applicant has breached s 911C of the Corporations Act, a financial services law. This contravention alone justifies the discretion to impose a ban under s 920A(1)(e) of that statute," McCabe said. "Additionally ... |
| | | | The government plans to mandate that crypto exchanges adhere to Australian financial services laws, requiring digital asset platform operators to obtain an AFSL. Treasury's Regulating digital asset platforms' consultation, released today, mandates that ... |
| | | | ASIC has imposed additional licence conditions on dealer group Shartru Wealth Management, saying representatives have not been adequately supervised, leading to some financial advice provided failing the best interests duty. The additional conditions ... |
| | | | The disgraced director of Select AFSL, the company the Hayne Royal Commission exposed for hawking life and funeral insurance to vulnerable customers, has been banned from managing a company for five years, while his companies were fined $13.5 million. ... |
| | | | The Financial Services and Credit Panel has ordered an audit of a financial adviser who carelessly recommended a client switch superannuation funds. Releasing its second determination since it launched, the FSCP said the unnamed adviser, only referred ... |
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