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Latest Australian Securities and Investments Commission News | Page 16

  • Latest Australian Securities and Investments Commission news stories and updates. What is happening today? All recent Australian Securities and Investments Commission news and developments. Live coverage and timeline of Australian Securities and Investments Commission. All you need to know about Australian Securities and Investments Commission.
Aware Financial Services Australia fined $20 million for charging fees for no service
ASIC prosecutes seven companies for failing to lodge financial reports and hold AGMs
ASIC prosecutes 104 individuals for failing to assist liquidators
Appointments – part-time members Financial Services and Credit Panel
ASIC update: Compensation for financial advice related misconduct as at 31 December 2021
Former Sydney liquidator sentenced to three years’ imprisonment for dishonesty and fraud offences
Cairns director charged with making false statement to ASIC
Queensland director disqualified from managing corporations for 18 months
ASIC disqualifies former building and construction industry director
Former mortgage broker pleads guilty to making false statement to ASIC
Managed investment schemes operator ordered into liquidation
NatRoad urges quick passage for unfair contract law
ASIC banning and disqualification of former Provident Capital director upheld by AAT
RI Advice to pay $6 million penalty, John Doyle to pay $80,000 penalty: Royal Commission case study
ASIC quarterly update October to December 2021
APRA releases its policy and supervision priorities for 2022
Caloundra man pleads guilty to insider trading
Former employment agency director pleads guilty to directors’ duties charge
ASIC consults on proposals to remake relief for business introduction services
ASIC bans convicted former director for three years
ASIC embarks on regtech innovation initiative into poor market disclosure
Former Spaceship Capital CEO banned from providing financial services
ASIC consults on revised ETP naming conventions
BGC Partners pays $110,250 infringement notice
Statewide Superannuation to pay $4 million penalty for misleading correspondence to members
Serial offender given 16-MONTH jail sentence
SR & Associates Pty Ltd not licensed to provide debt management services
ASIC issues information for tax financial advisers under Better Advice Act
Sydney director disqualified from managing corporations for 30 months
Sydney director disqualified from managing corporations for four years 23 December
Mayfair 101 Group to pay $30 million penalty for misleading advertising
Operation of Financial Services and Credit Panel
Interior design director charged with falsifying financial records
ASIC bans two Tweed Heads-based financial advisers for five and seven years
ASIC cancels AFS licence of United Wealth Group
Consultation on Modernising Registry Fees
Former MFS Ltd CEO, Michael Christodoulou King, declared bankrupt
ASIC bans Sydney financial adviser for two years
ASIC announces first sitting dates for 2022 financial adviser exam
Former director of Blue Star Helium James Cruickshank penalised and disqualified
Former NSW financial adviser Melinda Scott convicted of managing corporation while disqualified
Court freezes funds and assets of Ascent Investment and Coaching and its Western Australian director
ASIC urges greater focus on material business risk disclosure in financial reports
New Commissioner targets updated consumer protections
APRA and ASIC publish annual update on joint engagement 15 December
Charge withdrawn against former director James Feng
ASIC sues OnePath for fees for no service misconduct
ASIC welcomes new International Sustainability Standards Board and updated climate-related disclosure guidance

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