The Australian Securities and Investments Commission (ASIC) has reminded financial advisers, who are currently authorised, to make sure that they…
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Tag: Australian Securities and Investments Commission
Luxembourg and Australia enter agreement on fintech and regtech
The Luxembourg Commission de Surveillance du Secteur Financier (CSSF) and the Australian Securities and Investments Commission (ASIC) have signed a…
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ASIC approves Australian Financial Complaints Authority rules
The Australian Securities and Investments Commission (ASIC) has approved the Australian Financial Complaints Authority (AFCA) Complaint Resolution Scheme Rules and…
Read MoreASIC suspends AFS license of Vesta Living Communities
The Australian Securities and Investments Commission (ASIC) announced that it has suspended the Australian financial services (AFS) license of Vesta…
Read MoreASIC cancels registration of Victorian auditor
The Australian Securities and Investments Commission (ASIC) has just announced that it has cancelled the registration of Victorian auditor, Philip James…
Read MoreASIC permanently bans financial adviser
The Australian Securities and Investments Commission (ASIC) announced that it has permanently banned financial adviser Ezzat-Daniel Nesseim from providing financial…
Read MoreASIC consults on code of ethics compliance schemes for financial advisers
The Australian Securities and Investments Commission (ASIC) announced that it has released a consultation paper outlining its proposed approach to…
Read MoreAustralian regulator cancels Mackellar’s AFS license
The Australian Securities and Investments Commission (ASIC) has announced that it cancelled the Australian Financial Services (AFS) license of NSW-based…
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Directors of Storm Financial disqualified for breach of duties
The Australian Securities and Investments Commission (ASIC) has informed the public that the Federal Court has imposed civil penalties of…
Read MoreASIC charges company director with fraud
The Australian Securities and Investments Commission (ASIC) has informed the public that it has charged Mr Farmouz Farhaad Mohammed, who…
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