03/30/2022
Former BNP Paribas adviser banned from industry over unauthorised client trades
The SFC considers that Kim is not fit and proper to be a regulated person as his conduct was deceptive and dishonest, and casts doubt on his character and reliability as well as his ability to carry on regulated activities competently and honestly.
03/28/2022
ASIC commenced 21 civil penalty proceedings during the period and commenced court action targeting misconduct in insurance, superannuation and markets as well as system failures within major banks.
03/28/2022
Without an EPA, a Court order (which is expensive and lengthy) would usually need to be obtained before any person has access to the finances of the incapacitated person.
03/28/2022
According to a statement by the PCAOB last Thursday, talks were still ongoing and it "remains unclear" whether Beijing will "permit and facilitate" auditing access.
03/27/2022
The arrests were related to «block offers,» or after-hours large-volume trades which allow investors to unload shares without creating a negative price impact.
03/27/2022
Lawyers were selected based on their case portfolio, client recommendations, and feedback from the market.
03/25/2022
The implications of this decision have been far-reaching and will likely have repercussions in other common law jurisdictions, such as the UK.
03/24/2022
MAS and MSF have consulted relevant medical professionals to ascertain that the underwriting standards of the insurance industry are grounded in science.
03/23/2022
'ASIC is committed to protecting consumers where misleading marketing practices run counter to their interests.'
03/23/2022
APRA Deputy Chair Helen Rowell is the President of IOPS.
03/22/2022
With almost three decades' experience in financial services, Scott advises some of the largest industry and public sector superannuation funds in the country.
03/22/2022
Harneys’ associated corporate and fiduciary services arm, Harneys Fiduciary, provided the registered office and principal share registrar services to the client.
03/22/2022
NSW labour hire director disqualified from managing corporations for five years
The five companies were involved in labour hire in the construction industry.
03/22/2022
The consultation is open until 23 May 2022.
03/21/2022
Loh Thim Mun Marcus was found to have transferred clients’ money to his personal account.
03/21/2022
After they used false certificates to prove they had minimum requirements to apply to be insurance agents.
03/21/2022
‘ASIC monitors select online financial discussion by influencers who feature or promote financial products for misleading or deceptive representations or unlicensed advice or dealing. If we see harm occurring, we will take action to enforce the law,
03/20/2022
he orders took effect on Wednesday (Mar 16) after Loh was convicted of cheating and forgery offences, and using the benefits of his criminal conduct.
03/18/2022
Members have pulled out a whopping 101 billion ringgit in the first three withdrawals, the pension fund says in a statement on March 16.
03/18/2022
"He basically said, ‘due diligence is not Goldman’s responsibility – it’s BSI’s responsibility to conduct its own due diligence"