Search Results | Showing 51 - 60 of 7511 results for "Regulator" |
| | ... potential for annuity rates to be worse in future, or that income levels might not be sustainable had been disclosed The regulator also found evidence of fee for no service conduct where customers were paying for ongoing advice but not receiving periodic ... |
| | | Australian Securities and Investments Commission (ASIC) commissioner Alan Kirkland has admitted the regulator can't fight every battle of misconduct, but that doesn't mean it's not watching. Speaking at the Blockchain APAC Policy Week event, Kirkland ... |
| | | Following a brief reprieve, the number of class actions targeting the financial services sector escalated significantly in 2023. According to a report from Allens, the banking and financial services sector was the second biggest target for class actions ... |
| | | David Sipina, a Croydon local, who had a role at defunct investment manager Courtenay House, has pleaded guilty to carrying on a financial services business without a licence and dealing in the proceeds of crime. Between 24 June 2015 and 21 April 2017 ... |
| | | The Australian Securities and Investments Commission (ASIC) has permanently banned Queensland-based financial adviser Shane Rose. Rose has been banned from providing any financial services, performing any function involved in the carrying on of a financial ... |
| | | ASIC has released a new legislative instrument that extends relief to a broader class of quoted funds. ASIC Corporations (Relief to Facilitate Admission of Exchange Traded Funds) Instrument 2024/147 replaces [CO 13/721] ASIC Corporations (Relief to ... |
| | | Innovations in artificial intelligence (AI) are quickly expanding, posing a challenge to policymakers attempting to regulate the area. According to Kevin Hebner, managing director, global investment strategist with Epoch Investment Partners, those charged ... |
| | | ... dismissed an appeal by Provide Capital; it must now comply with a notice issued by ASIC to produce documents and pay the regulator's legal costs. ASIC had previously served a notice on Provide Capital to produce documents as part of an ongoing investigation ... |
| | | ... and liquidator's attempt to have the group liquidated. "Today's settlement announcement suggests the corporate regulator took the wrong position, supported false information when on notice of it, and aided the winding up of the IPO Wealth Holdings ... |
| | | ... this reporting requirement twice per year. ASIC will continue to engage with firms on meeting this requirement," the regulator said. Financial Advice Association Australia (FAAA) general manager policy of advocacy Phil Anderson told a recent Financial ... |
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