Search Results | Showing 1 - 10 of 158 results for "ASIC for" |
| | | ... (FIMS) entered into the heads of agreement with ASIC to pay the $7.3 million pecuniary penalty. It will also reimburse ASIC for its legal costs of about $650,000. The product disclosure statement of DSAF was found to have "contained ESG Statements and ... |
| | | | ... for investors," Montgomery Investment Management said. The decision to terminate also comes after Fundhost was fined by ASIC for making misleading representations about the Global Growth Fund. In February this year, Fundhost paid $19,800 because between ... |
| | | | ... AFCA's rules and processes where a matter involves multiple entities. Interprac itself is currently being sued by ASIC for its involvement in the Shield collapse, namely its failure to ensure clients' best interests were looked after. The action ... |
| | | | Fundhost has paid $19,800 to comply with an infringement notice issued by ASIC for making false or misleading representations about the performance of the Polen Capital Global Growth Fund. Fundhost is the responsible entity of the Polen Capital Global ... |
| | | | ... of 'qoin.com' website also publish this notice. Also, BPS Financial was ordered to pay most of the costs incurred by ASIC for the proceeding. ASIC warned consumers need to be cautious about claims made in connection with crypto-assets and crypto-related ... |
| | | | ... added that work on the scheme booklet, including the independent experts report, is well-advanced and will be shared with ASIC for review in due course. Insignia entered into a Scheme Implementation Deed in August last year to be acquired by New York-based ... |
| | | | ... firm on defending itself against culpability for the Shield Master Fund collapse and ensuing investor losses, blaming ASIC for not doing its job, as well as third-party providers for their failures. Releasing its Summary of Defence document last week ... |
| | | | ... AusPrac Super and YourChoice Super, as sub-plans of OneSuper, are overseen by Diversa Trustees, which is being sued by ASIC for its involvement in the First Guardian and Shield collapses and, more recently, was hit with additional licence conditions ... |
| | | | ... 5131 Application for appointment of scheme auditor by member of a registered scheme 5132 Application for consent from ASIC for resignation or removal of scheme auditor 5133 Notification of resignation, removal or cessation of a registered scheme auditor ... |
| | | | ... procedures and frameworks to ensure compliance with financial services law and provide two reports on these matters to ASIC for the watchdog to determine if any further action is warranted. "Compliance with the financial reporting and notification obligations ... |
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