Search Results | Showing 1 - 10 of 210 results for "Financial Services Law" |
| | | 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 ... |
| | | | The Australian Securities and Investments Commission (ASIC) has cancelled the Australian Financial Services Licence (AFSL) of JB Markets effective from 12 April 2024. ASIC said JB Markets failed to comply with the financial requirements of its AFSL ... |
| | | | ... investors. ASIC said it was satisfied there was reason to believe that Creigh was likely to contravene a financial services law due to his "fundamental lack of competence as well as his lack of fitness and propriety". Creigh has the right to appeal to ... |
| | | | ... dishonest actions showed serious incompetence and irresponsibility, and that he is likely to contravene financial services law in future". Prior to Octillion Partners, Rose was licensed through MyPlanner Professional Services and was not able to provide ... |
| | | | ASIC has had its first court win in relation to cryptocurrency, with fintech Block Earner found to have offered a financial product to retail investors without a licence. However, it was a mixed outcome for the regulator, with another allegation quashed. ... |
| | | | ... deal also includes QMV Legal, which provides advice to entities on issues including superannuation and financial services law; investments and ESG management; and mergers and successor fund transfers. The Novigi brand will become the primary identity ... |
| | | | ... separating the financial services legislation from the rest of the Corporations Act to create a standalone Financial Services Law rulebook. The ALRC said provisions should have thematic and conceptual coherence; related provisions should be grouped together ... |
| | | | ... do so; is not adequately trained or competent to provide financial services; and is likely to contravene financial services law. ASIC believes that about 40 clients were affected and some $3.5 million invested was not approved by Shaw and Partners. He ... |
| | | | ... legislation. "As a result, I am convinced that the applicant has breached s 911C of the Corporations Act, a financial services law. This contravention alone justifies the discretion to impose a ban under s 920A(1)(e) of that statute," McCabe said. "Additionally ... |
| | | | The government plans to mandate that crypto exchanges adhere to Australian financial services laws, requiring digital asset platform operators to obtain an AFSL. Treasury's Regulating digital asset platforms' consultation, released today, mandates that ... |
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