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Latest Australian Securities and Investments Commission News | Page 39

  • 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.
ASIC extends COVID-19 relief for certain capital raisings and financial advice
ASIC and IOSCO report on conflicts of interest within debt capital raising process
ASIC tells fund managers to be ‘true to label’
ASIC enforcement update January to June 2020
Consultation now open on AFCA Rules changes ahead of Superannuation Complaints Tribunal ceasing operations
ASIC cancels AFS licence of Union Standard International Group
ASIC moves against SMSF auditor misconduct 18 September
ASIC notes reporting changes
Court finds used car financier Rent 2 Own Cars Australia acted illegally
ASIC commences civil penalty proceedings against current and former directors of Linchpin and Endeavour for alleged
NAB superannuation trustee companies to pay $57.5 million penalty for fees for no service breaches
Federal Court Penalty – Plan Service Fees
Court rulings support ASIC’s position on notice compliance and legal privilege
Insider trader sentenced to three years imprisonment for trading in Big Un Ltd shares
AAT sets aside disqualification of SMSF auditor
ASIC commences civil penalty proceedings against Dixon Advisory for alleged conflicts
ASIC bans former National Representative of BitConnect cryptocurrency investment scheme from providing financial
ASIC obtains interim injunctions against James Mawhinney and appointment of provisional liquidators to Mayfair
Finance broker charged with making false statements to ASIC 2 September
Former Perth finance broker charged with fraud and forgery
ASIC’s Corporate Plan 2020-24
Continental Coal directors and company secretary charged with breaches of directors’ duties and making false
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

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