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ELIZA BAVIN  |  TUESDAY, 19 JAN 2021   11:51AM
ASIC chair James Shipton has lost out on close to $200,000 in salary since going on a leave of absence last year.
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IFM impersonated in scam
ELIZA BAVIN  |  THURSDAY, 14 JAN 2021
IFM Investors has become the subject of an email scam as it also battles claims it overvalued certain assets.
Fund manager charged with defrauding investors
ELIZA BAVIN  |  WEDNESDAY, 13 JAN 2021
A fund manager has been charged with misappropriating over US$7 million from retail investors who he had duped into believing he was an experienced and successful investment manager.
ASIC cancels stockbroker AFSL
ANNABELLE DICKSON  |  WEDNESDAY, 13 JAN 2021
The corporate regulator has cancelled the Australian financial services licence of Halifax Investment Services nearly two years after it was placed into administration.
Australian banks among most fined
ELIZABETH MCARTHUR  |  TUESDAY, 12 JAN 2021
Australian banks have taken the inauspicious title of second most fined in the world for 2020, according to new data.
Deutsche Bank fined for alleged bribery
ANNABELLE DICKSON  |  MONDAY, 11 JAN 2021
The US Securities and Exchange Commission (SEC) has fined the bank for falsifying payment documentation in relation to third-party intermediaries.
ASIC slams auditors
KARREN VERGARA  |  WEDNESDAY, 23 DEC 2020
The corporate regulator has lambasted the major auditors for sloppy work, and poor governance and accountability practices.
Foreign investors face tip offs
ANNABELLE DICKSON  |  TUESDAY, 22 DEC 2020
The government has released a new compliance campaign to crack down on foreign investors purchasing residential property and ensuring they are abiding by the guidelines.
Charles Schwab fails consumers, cops fine
KARREN VERGARA  |  TUESDAY, 22 DEC 2020
Charles Schwab UK has been fined $15.6 million for failing to protect consumers and lying to the regulator.
ASIC to review impact of ASX outage
KANIKA SOOD  |  TUESDAY, 22 DEC 2020
In 2021, ASIC will review how market participants adapted to the ASX's outage in November, and if they and the ASX violated their market operating licences.
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