Search Results | Showing 11 - 20 of 4788 results for "ASIC" |
| | ASIC has instigated "urgent proceedings" in the Federal Court against Brisbane financial adviser Sunny Prakash and his many associated companies. The corporate regulator is investigating Prakash and his "related companies" - Principal Financial Services ... |
| | | ASIC commissioner Simone Constant says the regulator's new report on exorbitant advice fee deductions is not a criticism of advisers, rather of trustees failing basic obligations, with more still needing to be done by the reviewed funds some 12 ... |
| | | ... last financial year?" As at 10 April 2024, Dixon Advisory and Superannuation Services (DASS) remains a current AFCA member. ASIC cancelled DASS's licence on 5 April 2023. The terms of the cancellation require Dixon Advisory to maintain membership ... |
| | | A review by ASIC has found evidence of poor oversight of advice fee deductions by superannuation trustees, with some allowing charges of up to $20,000 before raising concerns and some not conducting any checks of advice documents at all. ASIC is calling ... |
| | | ... the outcome - which is the inability of customers to lodge claims or access other services." Meanwhile, corporate regulator ASIC said that the matter "predominantly concerns APRA," but offered a general comment on member services failures. "Member services ... |
| | | ... the Markets Disciplinary Panel (MDP) following an investigation by the Australian Securities and Investments Commission (ASIC). The MDP found JPMSAL permitted suspicious client orders to be placed on the futures market, ASX 24. The MDP said it should ... |
| | | Financial advisers, licensees, and superannuation trustees are facing the ire of ASIC after an investigation found they are profiting from boiler room tactics that convince members to switch funds. An overwhelming number of members are goaded into leaving ... |
| | | ASIC has won a case against BPS Financial, following a Federal Court ruling that found the latter guilty of offering 'Qoin Wallet,' a non-cash payment facility that used the 'Qoin' cryptocurrency token, without an Australian Financial Services Licence ... |
| | | ASIC has issued a fresh warning over the increase in the sophistication of fake bond and term deposit scams. ASIC said scammers are impersonating little-known legitimate financial services businesses, often those without a website or digital footprint. ... |
| | | ... those who want to practice as a financial adviser. The majority (77%) sat the exam in March for the first time, according to ASIC, with 21,102 candidates sitting the exam to date. Those who keep failing the exam can resit it as many times until they ... |
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