ASIC has today published a snapshot report following a review into small amount credit lenders compliance with the design and distribution obligations (DDO). Report 754
Ashley Grant Howard, of Hobart, Tasmania has been convicted, after pleading guilty before the Downing Centre Local Court, to two charges of using false documents
ASIC has issued interim stop orders preventing Australian Fiduciaries Limited (AFL) from offering or distributing three funds to retail investors because of deficiencies in their
The Federal Court has dismissed proceedings brought by ASIC alleging Commonwealth Bank of Australia (CBA) engaged in misleading or deceptive conduct, made false or misleading
ASIC has issued interim stop orders preventing Perpetual Investment Management Limited (Perpetual) from offering or distributing two funds to retail investors because of deficiencies in
ASIC has cancelled the Australian financial services (AFS) licence of Ruchir Mukund Sayani (AFSL 489084). The licence was cancelled because Ruchir Mukund Sayani failed to
Mark Jennings, of Sunshine Coast, Queensland, has been banned from providing financial services and carrying on a financial services business for 10 years after he
ASIC has announced its Enforcement Priorities for 2023, which will include enforcement action on greenwashing and predatory lending, as well as a continuing focus on
Charges laid against former Legacy Iron Ore Ltd (Legacy) company accountant Karen Kwan have been withdrawn. The prosecution had alleged that Ms Kwan, in co-operation
Search below to find any information or documents you are interested in.
We foster financial stability and confidence in the financial markets and enhance protection for customers, investors and the insured.