... intermediary, the P2P lending platform, which makes these loans and investment transactions happen. The platform must comply with ASIC's responsible lending requirements and this means reviewing whether the loan is suitable for the borrower (that is ...
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Showing 241 to 250 of 381 results for asic:
... Henderson's guilty plea. The Commonwealth Director of Public Prosecutions prosecuted the matter after a referral from ASIC. ASIC alleged that between July 2010, and November 2017, Henderson made false representations that he had a Master of Commerce. ...
... commission for trades from $100. But buying shares and turning a profit is not as easy as it sometimes looks. The regulator ASIC points this out in a sharemarket analysis it conducted in May this year. It said the activity of retail investors had led ...
... majority of the workforce has worked from home with a significant number of JobKeeper payments, and according to a report from ASIC, this has resulted in a large influx of new investors and traders into the stock market. When we look at what these new ...
... these definitions are not complying with that obligation," says Mennen. "I think this is something the corporate regulator, ASIC, should be looking into because it now has product intervention powers that would enable it to compel the insurer to provide ...
... leverages coronavirus risks not privy to investors. So too has our own Australian Securities and Investments Commission (ASIC), noting "a sharpened focus on direct and indirect trading in securities and other financial products related to a listed entity ...
... in AMP Super products fell from 2.4 million in 2015 to 1.8 million at end June 2019. The Royal Commission and subsequent ASIC investigation uncovered that many AMP super members were being charged fees for no service. AMP was forced to undertake a remediation ...
... financial adviser Sam Henderson has pleaded guilty to charges brought by the Australian Securities and Investment Commission (ASIC) that he acted dishonestly. Henderson pleaded guilty to a 'rolled up' charge of dishonest conduct. It had been alleged ...
... advice they never received, with some seeing upwards of $20,000 wrongfully taken from their accounts over several years. ASIC alleges that on 2643 occasions from September 2014 to August 2017 Asgard charged 404 customers around $130,006 for financial ...
... fund, including the MER and any related performance fee, that has been paid during the financial year and then reported to ASIC. However, the ICR is backwards looking. It is usually calculated after the end of the financial year, and looks solely at ...
