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Latest Australian Securities and Investments Commission News | Page 35

  • 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.
WA director disqualified for maximum period
Former Victorian financial adviser sentenced to jail for obtaining financial advantage by deception
ASIC imposes additional licence conditions on ASX and issues expectations to improve market resilience
Melissa Caddick and Maliver found to have engaged in unlicensed conduct
Former WA financial adviser and his company charged with dishonest conduct
ASIC sues MLC Life Insurance for multiple insurance failures
ASIC sues MLC for multiple insurance failures
ASIC consults on updates to relief for superannuation calculators and retirement estimates
Former NSW financial adviser pleads guilty to dishonest conduct and using fabricated evidence
ASIC consults on consumer remediation draft guidance
ASIC sues A&M Group for false and misleading, threatening and coercive conduct against debtors
Former executive of Healthe Care Australia sentenced to 12 months imprisonment and fined $10,000 for insider trading
APRA agrees to court enforceable undertaking from AMP Super over compliance deficiencies
Former company director from Queensland charged with breaching directors’ duties
Chinese agricultural producer fined $300,000 for breaching financial reporting and company officer obligations
ASIC files contempt application against James Mawhinney
ASIC consults on remaking class order on PDS requirements where quote for general insurance product is given
ASIC cancels AFS licence of Future Asset Management International
Two men face $1.2m tax fraud, perverting justice charges
Industry funding: 2020-21 Cost Recovery Implementation Statement
ASIC successful in Federal Court against GetSwift and its directors Bane Hunter, Joel Macdonald and Brett Eagle
Former Quantum Resources director convicted of insider trading and market manipulation offences
Former telecommunications director pleads guilty to breaching directors’ duties and dealing with proceeds of crime
ASIC and ATO engage with directors as part of ASIC’s Phoenix Surveillance Campaign
ASIC releases guidance and examples on records of advice
Victorian director disqualified for failing to comply with directors’ duties, tax obligations and employment laws
New South Wales director disqualified from managing corporations for four years
Sydney director disqualified from managing corporations for four years
ASIC bans QLD-based adviser Keith McDermott for three years
ASIC obtains Federal Court orders against unlicensed investment scheme One Multi Services
ASIC sues timeshare company Ultiqa for poor financial advice outcomes
ASIC commences proceedings against Ferratum Australia for charging prohibited credit fees
Director IDs now available online for 2.7 million Australians
CBA pleads guilty to criminal charges for mis-selling consumer credit insurance
ASIC releases guidance on crypto-asset related investment products
Victorian director disqualified for two years and six months
ASIC quarterly update July to September 2021
Surveillance of investment switching by super fund executives identifies concerns with trustees’ conflicts arrangements
Director sentenced to community correction order for breaching directors’ duties
Victorian director charged with making false statement to ASIC
ASIC sues former Freedom Insurance director and consultant over insurance sales incentive programs
CBA moves youth financial education online
Better Advice Bill passes parliament
ASIC bans Melbourne-based adviser for six years
AAT varies ASIC ban of former Spectrum Wealth director Mark Schroeder
Colonial First State to pay $20 million penalty for misleading superannuation members
ASIC sues debt collection company for breaching consumer credit protection laws
ASIC proposes extending its CFD product intervention order

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