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7916 media releases found
25 August 2020 MEDIA RELEASE
20-196MR Royal Commission witness and former financial adviser Sam Henderson pleads guilty to dishonesty and defective disclosure charges

Former Sydney financial adviser, Mr Sam Maxwell Henderson, has today pleaded guilty to one ‘rolled up’ charge of dishonest conduct, an offence under ...

25 August 2020 MEDIA RELEASE
20-195MR ASIC issues guidance for Government’s enhanced regulatory sandbox

ASIC has today released guidance to assist innovative financial businesses test their products and services under the Government’s enhanced ...

25 August 2020 MEDIA RELEASE
20-194MR ASIC bans Adelaide adviser for five years

ASIC has banned Adelaide-based financial adviser Francesco Antonio (Tony) Romano from providing financial services and from being involved in the ...

24 August 2020 MEDIA RELEASE
20-193MR ASIC update on compensation for financial advice related misconduct

Six of Australia's largest banking and financial services institutions have paid or offered a total of $1.05 billion in compensation, as at 30 June ...

21 August 2020 MEDIA RELEASE
20-192MR ASIC manages transition to new regulatory regime for litigation funding schemes

ASIC has made ASIC Corporations (Litigation Funding Schemes) Instrument 2020/787 (Instrument) to manage the transition to the new regulatory regime ...

21 August 2020 MEDIA RELEASE
20-191MR ASIC commences proceedings against RI Advice Group Pty Ltd for alleged failure to have adequate cyber security systems

ASIC has today commenced proceedings in the Federal Court of Australia against RI Advice Group Pty Ltd (RI), an Australian Financial Services (AFS) ...

20 August 2020 MEDIA RELEASE
20-190MR ASIC commences civil penalty proceedings against BT Funds Management and Asgard Capital Management for charging fees for no service and misleading statements

ASIC has today commenced civil penalty proceedings in the Federal Court against Asgard Capital Management Limited (Asgard) for charging adviser fees ...

20 August 2020 MEDIA RELEASE
20-189MR ASIC commences civil penalty proceedings against StatePlus Super for charging fees for no service

ASIC has today commenced civil penalty proceedings in the Federal Court against State Super Financial Services Australia Limited (StatePlus) for ...

19 August 2020 MEDIA RELEASE
20-188MR ASIC acts against SMSF auditors who no longer have practical experience

ASIC has cancelled, or imposed conditions on, the registration of a number of auditors of self-managed superannuation funds (SMSFs) who had not ...

19 August 2020 MEDIA RELEASE
20-187MR ASIC obtains interim injunctions against Larry Dawson and PW Kitt Co Pty Ltd

ASIC has successfully applied to the Federal Court of Australia for urgent interim orders against NSW-based PW Kitt Co Pty Ltd and its sole director ...

Last updated: 23/03/2016 03:08