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| | ... through the NGS companies. As a result, ASIC has filed proceedings against the NGS companies, alleging a contravention of sections 911A of the Corporations Act by providing financial services without an Australian Financial Services Licence (AFSL). ASIC ... |
| | | ... financial advice, and general regulatory obligations. For instance, on the financial advice front this would mean grouping sections 912EA and 912EB; Part 7.6 Divs 8A, 8B, and 8C; Part 7.6 Div 9 Subdivs B and C; Part 7.7 Div 3; section 949A; Part 7.7A ... |
| | | ... prohibition order under s 921L(1)(c) Corporations Act 2001. ASIC on the other hand has more extensive banning orders under sections 920A & 920B. The FSCP recently hit Timothy Leslie Anderson with a registration prohibition order until after 17 May 2025 ... |
| | | ... place until its licence was cancelled in June 2021. The court charged Sydney-based Maharaj with two counts contrary to sections 192E(1)(b) and 346 of the Crimes Act 1900 (NSW ). The first count relates to obtaining additional funding at the end of June ... |
| | | ... clients were also seeking retirement planning advice." Subsequently, the adviser was given a written reprimand in breaching sections 961B(1), 961G, 961J(1) and 921E(3) of the Corporations Act 2001 in relation to personal advice provided to retail clients ... |
| | | ... blunder last March which looked to investigate if the exchange and its directors' breached obligations under several sections of the Corporations Act. ASIC further clamped down with demands the ASX produce two special reports to make sure that the ... |
| | | ... have properly enquired about or considered the client's needs and objectives, the FSCP said. Consequently, several sections of the Corporations Act 2001 Mr. M breached include not acting in the best interests of the client and providing advice that ... |
| | | ... technology that underpins it. ASIC is investigating if the exchange and its directors breached obligations under several sections of the Corporations Act. This includes breaching duties of care and diligence, which under section 180 is a civil obligation ... |
| | | ... income between $2000 and $3000, showing that the problem is not limited to very low-income earners. "However, there are sections of our community who are more vulnerable and this includes those who rent, remembering that any rate rise a landlord incurs ... |
| | | ... pronoun changes from my/mine to you/your. Astute found a similar pattern in the employed, home duties and unemployed sections of the survey. It also alleges that the rating questions and scores are similar. |
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