Search Results | Showing 731 - 740 of 5609 results for "ASIC" |
| | | ... its clients instead of on CLSA's own behalf, thus giving incorrect information about the origin of those orders and trades, ASIC said. Although the regulatory data failures are considered "inadvertent", resulting from a planned system change to CLSA's ... |
| | | | ... each adviser around $8500. Anderson blamed the federal government and the regulator for much of the debacle. This includes ASIC failing to take action against Dixon Advisory in a timely manner and then only focussing on advice issues in their ultimate ... |
| | | | The Australian Securities and Investment Commission (ASIC) is piloting a new digital portal for licensing which includes the ability to apply for, maintain and vary Australian financial services licences (AFSL). The new AFSL portal was launched on August ... |
| | | | ... investments fund for Australian retail investors in August 2023. The report said as a result, managers should be aware that ASIC plans to set up a division next year to evaluate private markets, particularly concerning valuations. Separately, a regional ... |
| | | | ... Australia's banks, insurers and superannuation trustees over the next four years". APRA's top priorities will include working with ASIC to ensure superannuation trustees meet their requirements under the Retirement Income Covenant. In addition, APRA ... |
| | | | ... Jayaweera will be eligible for parole after six years, with 977 days of pre-sentence custody declared as time already served. ASIC deputy chair Sarah Court said Jayaweera's actions betrayed the trust of his clients with some clients at or near retirement ... |
| | | | ASIC has won its case against Bit Trade, the operator of Kraken in Australia, after the crypto exchange was found to have not complied with design and distribution obligations when offering a margin trading product to its customers. Bit Trade's ... |
| | | | ... occurred between August 2013 and November 2015, resulting in a total loss of $5,958,870 to 12 of Jayaweera's former clients, ASIC said. Throughout the period, Jayaweera induced investors to invest in the Australian Diversified Sector Income Fund (ADSIF) ... |
| | | | ... regulatory gap and implementing recommendations of the Council of Financial Regulators - a coordinating body that comprises APRA, ASIC, Treasury, and the Reserve Bank of Australia (RBA). "The RBA now has powers to step in and promptly resolve a crisis ... |
| | | | The Australian Securities and Investments Commission (ASIC) has unveiled its corporate plan for the next 12 months, with the superannuation industry in the firing line. ASIC said its review of the superannuation industry has been a multi-year project ... |
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