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Latest Australian Securities and Investments Commission News | Page 22

  • 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.
Former financial adviser Brett Gordon charged with fraud
Corporate finance director pleads guilty to conspiring to manipulate market
ASIC provides relief for companies planning an initial public offering
ASIC grants industry-wide relief to help members of frozen funds make hardship withdrawals
Royal Commission witness and former financial adviser Sam Henderson pleads guilty to dishonesty and defective
ASIC issues guidance for Government’s enhanced regulatory sandbox
ASIC bans Adelaide adviser for five years
ASIC update on compensation for financial advice related misconduct 24 August
Payments System Board Update: August 2020 Meeting: Reserve Bank of Australia
ASIC manages transition to new regulatory regime for litigation funding schemes
ASIC commences proceedings against RI Advice Group Pty Ltd for alleged failure to have adequate cyber security
Westpac acknowledges proceedings commenced by ASIC
ASIC commences civil penalty proceedings against StatePlus Super for charging fees for no service
ASIC commences civil penalty proceedings against BT Funds Management and Asgard Capital Management for charging
ASIC acts against SMSF auditors who no longer have practical experience
ASIC obtains interim injunctions against Larry Dawson and PW Kitt Co Pty Ltd
ASIC warns Indigenous consumers about scams
ASIC winds up illegal unregistered managed investment scheme and Askk Investment Group Pty Ltd
ASIC publishes expectations of retail lenders when loan repayment deferrals end
ASIC commences action against GoGetta Equipment Funding Pty Ltd for unlicensed consumer leasing
ASIC permanently bans Brisbane finance broker and cancels credit licence
TWU calls for change of direction at ata
ASIC cancels AFS licence of Global Merces Funds Management Limited
Superannuation trustees compensate members wrongly classified as ‘smokers’
ASIC’s role in ensuring confidence is maintained in the financial system
ASIC consults on proposed product intervention order for sale of add-on motor vehicle financial risk products
Pershing sentenced for breaching client money obligations
Former financial adviser sentenced to six years’ imprisonment for dishonest conduct
APRA & ASIC to appear before House Economics Committee
Former director charged with fraud
Court finds former Tennis Australia director Harold Mitchell breached his duties
NSW director charged with making false statement to ASIC
ASIC review of 31 December 2019 financial reports
Former chair of G8 Education Limited committed to stand trial
AFCA welcomes updated guidance on IDR procedures
ASIC releases final updated guidance on complaints handling
ASIC consults on remaking class order on notification requirements for unlicensed carried over instrument lenders
ASIC bans Hobart adviser for five years
ASIC takes action to wind up illegal investment scheme MyWealth Manager
ASIC releases minor updates to RG 97
ASIC will not appeal Federal Court decision on Westpac’s ‘responsible lending’ obligations
Organised crime investigation charges 12 over complex fraud
ASIC suspends AFS licence of Union Standard International Group
Clive Palmer charged over breaches of directors’ duties and fraud
Federal Court upholds ASIC’s appeal on Robert Hutchison
ASIC sues Forex Capital Trading Pty Ltd for unconscionable conduct and conflicted remuneration
Former Sydney liquidator charged with dishonesty offences
ASIC consults on second product intervention order to stop continuing consumer harm

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