Managed investment scheme audits: scrutiny of underlying assets remains critical
A recent auditor disciplinary decision highlights the importance…
ASIC’s Report 830: reportable situations and substantial holding notices — the key watch items for AFS licensees and fund managers
ASIC’s Regulatory simplification progress report (REP 830)…
Regulatory Review of Lead Generation Practices in the Financial Advice Sector
Advice licensees that use third-party lead generation services…
ASIC suspends AFS licence for responsible manager compliance failures
ASIC has suspended the Australian financial services (AFS) licence…
ASIC updates guidance on managing conflicts of interest in financial services
ASIC has released an updated version of Regulatory Guide 181:…
ASIC Issues interim stop order against FXCM over target market deficiencies
The Australian Securities and Investments Commission (ASIC) has…
ASIC cancels AFS licence for key person compliance failures
ASIC has suspended the Australian financial services (AFS) licence…
ASIC sues online lender for unconscionable debt recovery processes
ASIC is suing CashnGo for misconduct in the provision of small…
ASIC Targets Fund Issuer Over Failures to Comply with Design and Distribution Obligations
ASIC has commenced enforcement action against a responsible entity…
Proposed fast-track IPO reforms aim to accelerate ASX listings
Companies planning to list on the ASX may soon benefit from a…