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Latest Australian Securities and Investments Commission News | Page 3

  • 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.
Fundhost Pays Infringement Notice For Making Misleading Representations About Polen Capital Global Growth Fund
ASIC Commences New Review Of Advice Licensees That Use Lead Generation Services
ASIC cancels AFS licence of Superfast AM Pty Ltd
ASIC cancels AFS licence of Pulse Markets for serious and sustained breaches of duties
Charge against NSW director dismissed
ASIC imposes licence conditions on Corpay subsidiary following compliance failures
SEC Chair and Nobel prize-winning economist to headline ASIC innovation symposium
ASIC bans former MWL Financial Services adviser Neil McPherson for 4 years
Former director of NDIS provider charged with dishonesty offences
ASIC action sees FIIG Securities ordered to pay $2.5 million over cyber security failures
ASIC cancels AFS and AC licences of Centre Capital Securities for failure to pay industry funding levies
ASIC takes further steps to support Australians impacted by First Guardian and Shield collapse
ASIC permanently bans former NSW financial adviser David Valvo
ASIC permanently bans Patrick Nong from the financial services industry
Director of Warwick Gold and Impact Gold disqualified from managing corporations for four years
Petra Capital fined for regulatory data reporting failures
ASIC urges super trustees to step up and address serious gaps in anti-scam and fraud protections
Stable Connect and Kaplan Professional partner to raise education and compliance standards in horse racing syndicates
ABA congratulates Sarah Court on appointment as ASIC Chair
Appointment Of New ASIC Chair
New ASIC Chair
ASIC flags $40 million in refunds after review of risky financial products
Director of WA tiling business charged with making false statement
Federal Court orders Australian Unity Funds Management to pay $7 million penalty for failing to confirm product suitability for investors
ASIC acts against 28 SMSF auditors, flags increased scrutiny on in-house audit breaches
Brendan Gunn pleads guilty to dealing with money reasonably suspected of being proceeds of crime
BPS Financial to pay $14 million in penalties over crypto Qoin Wallet
Fund manager sentenced to 6 years’ jail in $3 million Platinum Asset Management insider trading case
Former United Global Capital financial adviser Milutin Petrovic’s ban varied to three years
Former financial advisor Anthony Torre sentenced to six years imprisonment for fraud and stealing
ASIC secures nearly $40 million in refunds to investors and drives change after CFD sector falls short
Research reveals a surprising line of defence against cyber attacks: accountants
Richard Ernest Auricht’s liquidator registration cancellation overturned on appeal, substituted with five-year suspension
Directors of collapsed agri-businesses linked to corruption scandal disqualified for maximum 5-year period
ASIC suspends Australian credit licence of Transitional Funding Pty Ltd
ASIC sues BDO Audit and its director Dean Just alleging materially false or misleading audit reports
Pump and dump scammers put regulators on high alert
Market riggers sentenced in ASX ‘pump and dump’ case
Court decision on ANZ and ASIC settlement regarding Australian Markets and Retail matters
Federal Court orders $250 million combined penalties against ANZ
Federal Court orders $925,000 in penalties against RM Capital and SMSF Club for conflicted remuneration breaches
ASIC bans former MWL financial services adviser and former UGC Head of Advice Louis Van Coppenhagen for 7 years
Macquarie Securities admits to misleading conduct and agrees to pay $35 million for systemic failures
Action Against Netwealth Welcomed
NGS blockchain mining companies and unregistered scheme wound up, found operating without a licence
CADB cancels registration of Sydney auditor for breaching duties across 10 ASX-listed audits
ASIC cancels AFS licence of Rynco Pty Ltd
Mortgage broking business and manager back in court after alleged underpay and adverse action

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