Tag: ASIC
ASIC’s ‘litigation first’ approach sees investigation numbers double
September Regulatory Round-up: China’s ICO ban may benefit HK and SG; SFC “shifts focus” to corporate governance
Australian regulator to set up “Chief Data Office”
Japan and Australia sign fintech agreement
Hong Kong signs fintech agreement with Australia
The pressure is on
Aussie visa scheme set to lure Chinese HNWIs
Commonwealth’s senior financial planner banned for forging signatures
Superannuation in Australia expected to grow to US$5 trillion – an opportunity for wealth managers; a challenge for ASIC
Yet another financial advisor banned for advising clients to borrow funds at a higher rate than the interest earned from the investments made with the funds
Barclays pays penalty for withdrawing US$14.1 million from its client account without authorisation, fails to return the client monies within stipulated time
Australian financial services company director jailed for conducting business without license and misappropriating investor’s funds for personal gains
ASIC imposes conditions on financial advisory firm
Australian financial advisor banned for five years
ASIC takes steps to bring real improvements in the financial advisory industry
