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Search ResultsShowing 1 - 9 of 9 results for "Warren Day"
ASIC names operations, risk leads
KARREN VERGARA  |  MONDAY, 31 AUG 2020
... made two senior appointments to lead its operations and risk management units. ASIC promoted long-serving employee Warren Day to the newly-created role of chief operating officer after serving as the executive director of assessment and intelligence ...
Crypto investment opportunities outright scams: ASIC
ALLY SELBY  |  THURSDAY, 25 JUN 2020
... Australian consumers falling victim to opportunistic scammers. ASIC executive director for assessment and intelligence Warren Day said COVID-19 had created a perfect storm. "Australians are at risk of being scammed and losing money, and scammers are ...
Half of all AFSL applications approved
ELIZABETH MCARTHUR  |  MONDAY, 16 DEC 2019
... Planning were highlighted as examples of the regulator's approach. ASIC executive director, assessment and intelligence Warren Day said: "We are keen to foster a better understanding of the nature of ASIC's decision-making, what we consider when receiving ...
ASIC boosts AFSL application requirements
HARRISON WORLEY  |  MONDAY, 8 JUL 2019
... responsible officers of a body corporate applicant. The regulator's executive director of assessment and intelligence, Warren Day said the new process would ensure applications were not subject to delays in the future. "ASIC has reviewed the AFS ...
ASIC releases AFSL approval data
JAMIE WILLIAMSON  |  FRIDAY, 1 MAR 2019
... same period, 12 AFSLs were suspended and 191 were cancelled. ASIC executive director, assessment and intelligence, Warren Day said: "ASIC's licensing function provides the first gateway to ensuring applicants seeking an AFSL...meet minimum standards ...
AAT upholds AFSL rejection
OSKAH DUNNIN  |  TUESDAY, 15 JAN 2019
... and Financial Services Industry saw ASIC scrutinised for its lack of regulatory enforcement. ASIC senior executive Warren Day says this ruling is a reminder that "ASIC is not simply a rubber stamp." ASIC noted "that under s 1308(8) of the Act, it is ...
Assistant Treasurer refutes breach allegations
HARRISON WORLEY  |  FRIDAY, 26 OCT 2018
... Corporations Act. During Senate Estimates, Ketter asked ASIC senior executive leader for assessment and intelligence Warren Day about media reports which claimed Robert remained a director of alternative health company Cryo Australia until this week ...
ASIC warns SMSF accountants to have backup plan
KERRIE SYDEE  |  WEDNESDAY, 8 JUN 2016
... product advice on self-managed superannuation funds (SMSFs). ASIC senior executive leader, assessment and intelligence, Warren Day noted that after 30 June 2016, any accountant found to be providing unlicensed advice risked regulatory action and said ...
Scam artists impersonate ASIC and MoneySmart
JAMES FERNYHOUGH  |  WEDNESDAY, 24 JUL 2013
... is a follow-up scam intended to trick you into providing your personal details," Senior Leader, Stakeholder Services Warren Day said. "We ask the public to be cautious of calls like these. If you receive an unexpected call from someone in these circumstances ...
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