21 June 2017 • By • 1 min read
ASIC is investigating a number of financial planning dealer groups that advisers perceive as “licensees of last resort” as part of its crackdown on ...
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A Senate report released yesterday has recommended the government’s bank levy be reviewed after two years to asses its efficacy and its effect on ...
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The corporate regulator is working with the Australian Federal Police on an investigation into “suspicious trading” of major bank shares ahead of the ...
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The Commonwealth Bank has released the seventh and final independent report into its compensation scheme for victims of poor financial advice
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The new industry funding model for ASIC has been passed into law and will commence on 1 July 2017. The ASIC Supervisory Cost Recovery Levy Bill ...
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UBS Securities Australia has paid $280,000 in penalties for trading infringements imposed by ASIC’s Markets Disciplinary Panel. ASIC has issued two ...
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The Hong Kong Securities and Futures Commission (SFC) has signed a co-operation agreement with ASIC on financial innovation. The agreement between ...
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ASIC’s recent surveillance of responsible entities has found a number of compliance areas in which they ‘fell short’ of their legal obligations
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Regulatory action against Macquarie Equities for “compliance deficiencies” commenced in 2014 is now “substantially complete”, with $24
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ASIC has fined an equities and derivatives managed discretionary account (MDA) provider for making false or misleading statements on its website
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