Search Results | Showing 1 - 10 of 297 results for "Watchdog" |
| | ASIC has appealed the Federal Court's decision to dismiss its proceedings against Finder Wallet. The corporate watchdog claimed that Finder Wallet provided unlicensed financial services, breached product disclosure requirements, and failed to comply ... |
| | | ... many competent investors' abilities to partake in investments they consider appropriate," the firm said. Corporate watchdog ASIC, meanwhile, is recommending raising the minimum net assets requirement from the existing $2.5 million to $5 million ... |
| | | ... Finder Earn, which was marketed as making use of a cryptocurrency called "TrueAUD" (TAUD). In late 2022, the corporate watchdog commenced civil penalty proceedings against Finder Wallet for allegedly providing unlicensed financial services, breaching ... |
| | | ... April 30. The matter is being prosecuted by the Commonwealth Director of Public Prosecutions. Separately, the corporate watchdog acted against nine SMSF auditors in the last quarter of 2023. The actions included disqualification of five auditors - Stephen ... |
| | | A financial adviser based on Queensland's Hope Island was permanently banned by the corporate watchdog after he was found to have misled clients about potential returns and used their funds for his own expenses. Delan Pagliaccio is banned from providing ... |
| | | After three years, the head of institutional solutions at Allianz Retire+ has departed. Fintan Thornton has left the retirement specialist to take on a new role at a health fund. It comes at a time of turmoil for the retirement industry, which has come ... |
| | | The local subsidiary of TPP Global Investments has been ordered by the Federal Court to produce documents it has so far withheld from ASIC. Provide Nominees (Provide), which trades as Provide Capital, came under the watchdog's surveillance in March ... |
| | | ... distributing financial products where it considers the target market determinations to be deficient. Further, Court outlined the watchdog is keeping an eye on insurers. "Anyone who has renewed an insurance policy will be familiar with the various statements ... |
| | | ... understand, and competitive, ultimately boosting global appeal. These targeted reforms come as part of the financial watchdog's ongoing efforts to strengthen the UK's position as a leading financial hub, paving the way for increased investment. Two years ... |
| | | ... breach reporting procedures in the hope that it can help reduce regulatory burdens for financial advisers. The corporate watchdog detailed several changes to Regulatory Guide 78 Breach reporting by AFS licensees and credit licensees, following consultation ... |
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