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Search ResultsShowing 1 - 6 of 6 results for "Office of Enforcement"
ANZ fined $10m
ELIZABETH MCARTHUR  |  FRIDAY, 2 OCT 2020
... ASIC's position that ANZ lacked contractual entitlement to charge these particular fees. ASIC, through its Office of Enforcement, has held ANZ to account for this conduct," ASIC deputy chair Daniel Crennan said. "ASIC acknowledges the cooperative approach ...
ASIC takes action against BTFM, Asgard, StatePlus
JAMIE WILLIAMSON  |  THURSDAY, 20 AUG 2020
... to superannuation, were subject to cases studies in the Royal Commission, were investigated by ASIC's Office of Enforcement and have been brought by ASIC to the Federal Court for determination." Finally, ASIC provided an update on its similar action ...
Adviser bans fall
ELIZA BAVIN  |  THURSDAY, 30 APR 2020
... courts. "In the last Enforcement Update, published in August 2019, I outlined the establishment of ASIC's Office of Enforcement in July 2019," Crennan said. "I also set out its focus on deterrence, public denunciation and punishment, particularly in ...
ASIC prepares to be primary super conduct regulator
ELIZABETH MCARTHUR  |  THURSDAY, 12 SEP 2019
... The regulator said it has dedicated resources to Royal Commission related referrals and matters within the Office of Enforcement. It specifically mentioned court action ASIC has taken against Select AFSL, Dover and NAB as a result of the Royal Commission. ...
ASIC accelerates enforcement
ELIZABETH MCARTHUR  |  MONDAY, 19 AUG 2019
... latest enforcement update, the regulator has made clear it is accelerating enforcement action now that the Office of Enforcement is open for business. From January to June 2019, 10 individuals were charged in criminal proceedings brought by ASIC, 70 ...
ASIC flags post-RC criminal prosecutions
JAMIE WILLIAMSON  |  WEDNESDAY, 20 FEB 2019
... with its new 'Why not litigate?' mantra in mind, with a taskforce now in place to establish a dedicated Office of Enforcement within ASIC. The move will see enforcement staff separated as much as possible from non-enforcement contact with regulated entities. ...
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