Search Results | Showing 1 - 10 of 132 results for "ASIC for" |
| | ... both retail and wholesale investors. In 2023, Sanlam authorised representative, fintech Bobbob, was fined $53,280 by ASIC for misrepresenting its crypto product. |
| | | The Australian Securities and Investments Commission (ASIC) has commenced proceedings in the Federal Court against the ASX, for allegedly making misleading statements related to its Clearing House Electronic Subregister System (CHESS) replacement project. ... |
| | | ... in the past claimed the levy was calculated based on the "denominator effect". Last year, however, the FAAA called out ASIC for its lack of transparency around how its levy is exactly calculated. This led to ASIC revising the $55.5 million estimates ... |
| | | ... exercise any voting rights in Sequoia shares which they acquired on or after 31 March 2024 and such shares must be vested in ASIC for sale. In a separate letter dated May 10 and sent to all shareholders ahead of the EGM, Crole and Pattison, together ... |
| | | Financial advisers, licensees, and superannuation trustees are facing the ire of ASIC after an investigation found they are profiting from boiler room tactics that convince members to switch funds. An overwhelming number of members are goaded into leaving ... |
| | | ... in particular supporting its organisational transformation since 2021. "Warren has been a significant contributor to ASIC for more than 20 years across virtually every part of ASIC's remit. This is an opportunity for him to bring the skills and experience ... |
| | | After being rebuked by ASIC for operating without an AFS Licence, iExtend is now running under a Corporate Authorised Representative (CAR) arrangement for the interim. A CAR enables iExtend to act as an agent of an AFS Licensee, meaning it is authorised ... |
| | | ASIC has been ordered to pay the costs Mayfair 101 managing director James Mawhinney incurred during the regulator's failed attempt at bringing an expanded case against him. The order follows the Federal Court of Australia's decision last month to reject ... |
| | | ... services in relation to secured lending transactions and share investment. Notably, a liquidator's report filed with ASIC for 13 of these companies showed that they were unable to pay their unsecured creditors more than 50 cents on the dollar. The corporate ... |
| | | ... of customer calls in total, however, increased to over 210,00 during the period. The bank is currently in trouble with ASIC for allegedly neglecting more than 200 customer hardship requests over a seven-year period. Westpac blames it on "technology failure". ... |
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