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Showing 81 - 90 of 1364 results for "Australian Securities and Investments Commission"

ME Bank faces criminal charges

ELIZABETH MCARTHUR  |  WEDNESDAY, 15 SEP 2021
... in relation to proceedings against ME Bank for alleged contraventions of the Australian Securities and Investments Commission Act 2001 (Cth) and National Credit Code. The alleged contraventions concern home loan customer communications over a two year ...

Every super fund should cover every occupation: FSC

KANIKA SOOD  |  FRIDAY, 13 AUG 2021
... regulators, including the Australian Competition and Consumer Commission (ACCC), Australian Securities and Investments Commission (ASIC) and the Australian Prudential Regulation Authority (APRA). The FSC will seek feedback from regulators on their expectations ...

Government to create ASIC, APRA regulator

ANNABELLE DICKSON  |  THURSDAY, 24 JUN 2021
... establishment of an independent body charged with reviewing the effectiveness of both the Australian Securities and Investments Commission (ASIC) and the Australian Prudential Regulation Authority (APRA). Under the Financial Regulator Assessment Authority ...

ASIC drops Regal action

ANNABELLE DICKSON  |  WEDNESDAY, 16 JUN 2021
The Australian Securities and Investments Commission (ASIC) has dropped enforcement action against Regal Funds Management following an investigation in 2019. Regal has received a formal no-action letter from the corporate regulator confirming that no ...

Banks should pay advice exit levy: TAA

ANNABELLE DICKSON  |  THURSDAY, 18 MAR 2021
... for financial advisers and mitigate the increasing levy. Earlier this month the Australian Securities and Investments Commission announced the adviser levy will increase by the equivalent of 160% over two years. A sole practitioner will be required to ...

Former Apogee adviser charged with deception

ANNABELLE DICKSON  |  TUESDAY, 2 MAR 2021
... advantage by deception for his role in an illegal retail superannuation scheme. The Australian Securities and Investments Commission (ASIC) alleges that Saad, while working as an authorised representative of Apogee Financial Planning, illegally obtained ...

APRA commends super funds on tough year

ELIZA BAVIN  |  FRIDAY, 5 FEB 2021
... on information-sharing and collaboration with peer agencies, particularly the Australian Securities and Investments Commission (ASIC), was also prioritised." Byres said COVID-19 required APRA to adopt a broad perspective when identifying and responding ...

Australians Googling for advice

KANIKA SOOD  |  WEDNESDAY, 3 FEB 2021
... with stories covered improper conduct. The latter related, in the main, to the Australian Securities and Investments Commission's letter to peak real estate bodies asking them to remind real estate agents that they were unqualified to provide financial ...

The barriers to limited advice: Licensees

ANNABELLE DICKSON  |  MONDAY, 11 JAN 2021
... documents are the major barriers to limited advice, according to licensees. The Australian Securities and Investments Commission's (ASIC) latest consultation paper, Promoting access to affordable advice for consumers, is giving not only advisers but ...

Director charged with dishonest conduct

ANNABELLE DICKSON  |  FRIDAY, 4 DEC 2020
... charged a man with seven counts of dishonest conduct following a referral from the Australian Securities and Investments Commission (ASIC). In addition to the seven counts, Mudasir Mohammed Naseeruddin as also charged with two counts of failing to exercise ...