Search Results | Showing 1 - 10 of 4770 results for "ASIC" |
| | | 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 ... |
| | | | Australian Securities and Investments Commission (ASIC) chair Joe Longo had some choice words when addressing the Parliamentary Joint Committee on Corporations and Financial Services today. When questioned over its capacity to respond to people who ... |
| | | | ASIC has slapped a permanent ban on a financial adviser who doctored her exam certificate and continued to provide advice without the proper qualifications. Adele Baaini, while working as a representative for licensee AAN Wealth Management, has been ... |
| | | | ... hardship as a result of these planned new reporting requirements." Meantime, Australian Securities and Investments Commission (ASIC) chair Joe Longo said growing interest in environmental, social, and governance issues had driven the need for more thorough ... |
| | | | The Australian Securities and Investments Commission (ASIC) has cancelled the Australian Financial Services Licence (AFSL) of JB Markets effective from 12 April 2024. ASIC said JB Markets failed to comply with the financial requirements of its AFSL ... |
| | | | ... unauthorised fee transactions conducted by third parties, such as financial advisers, on customer cash management accounts. ASIC chair Joe Longo said fraud controls were increasingly important and the case against Macquarie has sent an important message ... |
| | | | ... stabilising at 15,602, as Count and AMP Financial Planning continue to hold the lion's share. Rainmaker's analysis of the ASIC Financial Adviser Register (FAR) shows that the population dipped 2% from 15,881 this time last year. The numbers appear ... |
| | | | ... in the case of EverBlu, a senior officeholder who oversaw and participated in the stockbroking services that it provided." ASIC chair Joe Longo said the penalties imposed by the court were significant and should act as a deterrent to engaging in market ... |
| | | | The chief executive of the Australian Securities and Investments Commission (ASIC) will be leaving the regulator, effective June 1. ASIC chair Joe Longo accepted a request from the Commonwealth Director of Public Prosecutions (CDPP) for ASIC chief executive ... |
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