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Regulation

regulation

19 January 2018 • By Katarina Taurian • 1 min read

ATO watching cryptocurrency boom closely

Growing interest in cryptocurrencies by unsophisticated investors is likely to attract the intense scrutiny of the Australian Taxation Office, says ...

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ASIC cancels advice firm’s licence

ASIC has accepted an EU from Breakaway Finance Group that will see the practice’s AFSL cancelled and its sole director removed from the industry for ...

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Asia-Pacific turns back on regulatory co-operation

The post-GFC push for “harmonisation of regulatory frameworks” in the Asia-Pacific region is giving way to a more fragmented, “home-biased” approach, ...

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ASIC cancels FX company’s AFSL

The corporate regulator has cancelled the Australian Financial Services Licence (AFSL) of NSW-based foreign exchange company Smart Trader ...

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Rate hike reliant on wages growth: NAB

The Reserve Bank of Australia appears set to hike interest rates in the second half of 2017 after it sees a lift in the growth of wages, says NAB

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Banksia MD to pay $25,000 penalty

The Federal Court of Australia has demanded a $25,000 penalty from the former managing director of non-bank lender Banksia Securities Limited

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ASIC questions Sequoia revenue reporting

Sequoia Financial Group has rescinded its original figures for revenue and hedging expenses for the 2017 financial year after intervention by ASIC

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Ombudsman criticises banking code

Small Business and Family Enterprise Ombudsman Kate Carnell has questioned the ABA’s Banking Code of Practice, saying the announcement leaves ...

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Bank lobby unveils new code of practice

The Australian Bankers’ Association has announced it has submitted a new code of practice to ASIC for approval. In a statement, ABA chief executive ...

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ASIC warns sell-side about inside information

Sell-side analysts have been put on notice by ASIC in updated guidance that addresses the identification and handling of inside information

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