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Latest Australian Securities and Investments Commission News | Page 7

  • 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 sues TerraCom Limited, its managing director, chief commercial officer, former Chair and a former director
Appointments – Chair and Business member – Companies Auditors Disciplinary Board
Star provides $150 million for fines and penalties after ASIC raises concerns
ASIC launches first Court proceedings alleging greenwashing
ASIC sues former Freedom Foods Group and its former CEO and CFO alleging disclosure failures and breaches of director and officer duties
ASIC bans unlicensed individual from financial services for eight years
Former Queensland CEO pleads guilty to dishonest conduct
ASIC prosecutes 81 individuals for failing to assist registered liquidators
ASIC sues RACQ over alleged pricing discount failures, urges industry to improve pricing practices
ClearLoans penalised $6 million for financial hardship misconduct and other Credit Act breaches during COVID-19
ASIC brings criminal charges against third individual in relation to Courtenay House
Further ASIC regulatory response on CHESS Replacement and ASX’s program capabilities
National Advice Solutions convicted of hawking in relation to superannuation roll over calls
ASIC prosecutes fifteen companies for failing to lodge financial reports
Joshua Fuoco convicted of managing a company while disqualified
ASIC places interim stop order on credit for rent product
ASIC will allow SMSF auditors competency standards class order to ‘sunset’
Federal Court sanctions Getswift with record continuous disclosure penalty
Repayment calculator leads to infringement notices against credit company
ACCC launches inquiry into deposit interest rates
ASIC cancels AFS licence of Strathnaver Capital Pty Ltd
ASIC to expand enforcement focus areas in the coming year
Former CEO of Big Un Limited charged with insider trading
ASIC publishes Framework to help deliver positive financial outcomes for First Nations people
ASIC permanently bans former NSW based adviser
Former financial adviser Rahul Goel permanently banned
Credit broker sentenced to corrections order for fraud offences
Former Legacy Iron Ore managing director sentenced for stealing
ASIC cancels licence of Family Wealth Strategy Pty Ltd
ASIC calls for improved material business risk disclosure in annual reports
Don George Evans sentenced for conspiring to manipulate Quantum shares
Wilsons Advisory and Stockbroking Ltd ACN 010 529 665 pays $548,328 infringement notice
Former Perth adviser sentenced for making unauthorised client transactions
Victorian director disqualified from managing corporations for three years
ASIC disqualifies director from managing corporations for five years after engaging in illegal phoenix activity
ASIC cancels registration of 374 SMSF auditors
Gold Coast director banned from providing financial services for four years
ACCC social media sweep targets influencers
Former Melbourne financial planner Bradley Grimm pleads guilty to dishonest conduct
Home finance companies and directors to pay $150,000 for failing to cooperate with AFCA
Midway Limited pays $33,000 infringement notice penalty for alleged continuous disclosure breach
ASIC reports on small business restructuring
Commissioner Sean Hughes to depart ASIC
Former Adelaide financial adviser sentenced after falsifying company books
Australian Mines fined $450,000 for breaching continuous disclosure obligations
AAT upholds Olive Financial Markets’ AFS licence cancellation
Interim stop order placed on the Pivotal Diversified Fund
Black Mountain Energy pays ASIC greenwashing fine as Kimberley floods

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