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Showing 1 - 10 of 101 results for "ASIC of"

Treasury to reform managed investment scheme governance

KARREN VERGARA | TUESDAY, 10 FEB 2026

... managed. Existing audit and assurance standards should be mandatory for auditors of compliance plans, while REs should notify ASIC of the appointment, removal or resignation of committee members. This is in addition to increasing ASIC's data collection ...

ASIC acts against 28 SMSF auditors

MATTHEW WAI | FRIDAY, 30 JAN 2026

... failures to comply with auditing and assurance standards and to provide annual statements. Some also failed to advise ASIC of changes to their contact details on the public register of SMSF auditors, did not respond to regulatory compliance requests ...

EQT stands firm on defence, blames ASIC, third parties

KARREN VERGARA | MONDAY, 19 JAN 2026

... Shield was removed from the two platforms on 10 January 2024. Unlike MIML, EQT said "ETSL was not formally advised by ASIC of its concerns about Shield and only became aware of them when ASIC appointed a receiver to Shield in August 2024." Had ASIC issued ...

More than 2000 advisers at risk as deadline looms

JAMIE WILLIAMSON | MONDAY, 1 DEC 2025

... Connect. ASIC urged all advisers who find their details to be inaccurate to contact their licensee and ask them to notify ASIC of their qualifications or intention to rely on the pathway. The regulator said this would be its final warning.

FX coaching platform handed additional conditions over compliance failures

MATTHEW WAI | WEDNESDAY, 26 NOV 2025

... three months after the financial year-end, followed by multiple occasions since 2012. The business also failed to notify ASIC of the appointment of a new auditor. As a result, ASIC believes LTT was likely to continue contravening its obligations under ...

3500 advisers at risk as deadline looms

JAMIE WILLIAMSON | TUESDAY, 30 SEP 2025

... remaining 3459 yet to meet the standard, 1371 may be eligible for the experience pathway but their licensee is yet to notify ASIC of this. Further, unless exempt, relevant providers have until the end of the year to complete specified courses in commercial ...

ASIC chair calls it quits

KARREN VERGARA | FRIDAY, 19 SEP 2025

... and public markets, superannuation member services and banks' support for low income and hardship customers - the ASIC of today is better fulfilling what Australia needs of it." Longo was paid a total of $815,154 in remuneration in the 2024 financial ...

Mercer Super sued over 'longstanding and systemic' failures

JAMIE WILLIAMSON | THURSDAY, 14 AUG 2025

... more than a year later than it should have been. Under the Reportable Situations Regime, all AFSL holders must notify ASIC of a reportable situation - in this instance, a significant breach of 'core obligations' - within 30 calendar days of it ...

Licensee compliance head banned over fees for no service

MATTHEW WAI | WEDNESDAY, 9 JUL 2025

... after the group was placed into voluntary administration. The reportable situations regime requires licensees to notify ASIC of reportable situations. ASIC published its Regulatory Guide 78 Breach reporting by AFSL and credit licensees (RG 78) in December ...

Macquarie raked over the coals again by ASIC

ANDREW MCKEAN | WEDNESDAY, 14 MAY 2025

... financial services industry "relying on misleading and false information" for over a decade. Macquarie stands accused by ASIC of misreporting data on at least 321 unique securities. It further alleged that for each impacted security, Macquarie inflated ...

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Australian Unity to shed 195 roles

MATTHEW WAI

Australian Unity is reducing its workforce by 195 positions due to underperformance stemming from delays in government support for its Home Health platform and the integration of several businesses.

Count shutters limited-advice business, slips in size ranking

MATTHEW WAI

Count Financial has reportedly wound up its restricted SMSF/limited-advice service, losing some 26 advisers on the Financial Adviser Register, latest data shows.

First Super recruits head of investments from Prime Super

MATTHEW WAI

First Super has appointed a new head of investments, replacing Chris Artis, who was in the position for the past three months on an interim basis.

BMO eyes Euroz Hartleys' capital markets business

KARREN VERGARA

Euroz Hartleys confirmed it is in discussions with Canada's BMO Financial Group for a potential sale of its capital markets business for $145 million.

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