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29 June 2017 • By • 1 min read
Hedge funds, multi-manager funds and superannuation platforms will continue to be excluded from ASIC’s shorter PDS regime, the regulator has announced
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Treasury’s ASIC Enforcement Review taskforce has asked for public submissions on its proposed changes to the regulator’s licensing powers
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The corporate regulator has revealed its position on the definition of independent financial service provision, in a move likely to impact thousands ...
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ASIC has fined Westpac $127,250 for failing to correctly report information about more than 100,000 over-the-counter derivatives transactions
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The Australian corporate regulator has entered into a fintech co-operation agreement with its Japanese counterpart, the Japan Financial Services ...
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Macquarie Securities has paid a penalty of $505,000 after ASIC found it “recklessly” took 39 days to suspend the account of a suspected rogue trader
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The corporate regulator has called for industry feedback on its guidance for the new crowd-sourced funding regime, which is set to commence on 29 ...
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The custody practices of Australian financial institutions have been found wanting in a number of instances, including failures to manage conflicts of ...
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ASIC chairman Greg Medcraft has warned fund managers about “structural vulnerabilities” in the sector that could present “financial stability risks”
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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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